U.S. Securities and Exchange Commission complaint provides a preview of what future Reg BI suits might entail and pursues individual registered representatives for Reg BI violation. FINRA reports on use of fine money, and updates on arbitrator selection Process
FINRA Facts and Trends: July 2022 | Bracewell LLP jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.
I appreciate FINRA’s efforts to involve the public in the regulatory process and the opportunity to submit a public comment regarding Regulatory Notice 22-08.