Tagged with "bari havlik"

FINRA consolidates Its Examination Functions

Posted on December 16th, 2019 at 2:16 PM
FINRA consolidates Its Examination Functions

The Financial Industry Regulatory Authority ("FINRA") has merged its examination operations and will review brokerages based on their business models next year. 

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Rick R.

LATEST NEWS AND ARTICLES

April 23, 2024
Surge Predicted in Regulation Best Interest Cases

According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.

April 22, 2024
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