AppointmentsRegulation
Julie Glynn and Tina Gubb
FINRA
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
FINRA Board of Governors Elects Vanguard´s Brennan as Chairman
Regulation
Succeeding Richard Ketchum
