Regulation
Proposal to the SEC
FINRA
AppointmentsRegulation
Julie Glynn and Tina Gubb
FINRA Appoints Two New Enforcement Executives
Regulation
For home office
SEC Approves Finra Rules for Remote Inspection and Reduction of Broker Examinations
Regulation
Robert W. Cook
FINRA´s Regulatory and Examination Priorities 2017
For Fórmate a FondoPrivate Banking
FINRA Survey
The Majority of Investors Feel That Their Fees Are Reasonable and Fewer Than Half Are Worried That Sales Incentives Present a Conflict of Interest
Regulation
For Fixed-Income Securities
FINRA Receives SEC Approval for Enhanced Price Disclosure to Retail Investors
Appointments
JPMorgan Chase
FINRA Names Stephen M. Cutler to Board of Governors
Regulation
2.5 Years Later
PIABA: After Report Detailing BrokerCheck System’s Flaws, No Action Has Been Taken
Regulation
Succeeds Richard G. Ketchum
