FINRA issued Regulatory Notice 19-28 to remind member firms of their supervisory obligations under FINRA Rules 3110 (Supervision)...
CN Editor
August 19, 2019
FINRA ANNOUNCES RESULTS OF GOVERNOR ELECTIONS
SEC DIRECTS EQUITY EXCHANGES AND FINRA TO IMPROVE GOVERNANCE OF MARKET DATA PLANS
FINRA NAMES BILL ST. LOUIS AS NEW HEAD OF ENFORCEMENT
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
Thank you for the feedback!!
BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS