FINRA announced that it has reached settlements with 56 member firms and obtained a total of $89 million in restitution for nearl...
CN Editor
July 18, 2019
FINRA TO CUT RETAKE TIME BETWEEN EXAM ATTEMPTS FOR ASPIRING REPS
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
FINRA SEEKS REFORMS TO MODERNIZE, EASE COSTS
FCA SANCTIONS EXEC OVER DISCIPLINARY DISCLOSURE
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REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS