FINRA has sent out an Election Notice to notify members of an upcoming election to fill one large firm and one mid-size firm seat...
CN Editor
August 21, 2019
FINRA FINES UBS FINANCIAL $20 MILLION FOR ANTI-MONEY LAUNDERING VIOLATIONS
STRENGTHENING EXAM PROGRAM THROUGH INNOVATION AND TRANSPARENCY
FINRA TO CUT RETAKE TIME BETWEEN EXAM ATTEMPTS FOR ASPIRING REPS
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RCMP LAYS CHARGES IN ALLEGED $164M PONZI SCHEME
CIRO SANCTIONS SCOTIA SECURITIES FOR COMPLAINT HANDLING FAILURES
WHY MUTUAL FUND ADVISORS AREN"T MOVING TO INVESTMENT DEALERS IN DROVES YET
TOP COURT DECLINES TO HEAR APPEAL IN OSC CASE