Latest Breaking News On - Rule exchange act - Page 1 : comparemela.com

With the close of FINRA's fiscal year comes the opportunity for broker-dealer firms to consider where regulators have focused their enforcement efforts and also what can be expected in the coming year.

Markt uyedaDivision of examinationsRule exchange actChannel communicationsAlpine securities corpRisk monitoring programFinancial industry regulatory authorityNational market systemExchange commissionExchange act ruleDivision of enforcementRegulatory oversight reportSuspicious activity reportsBest interestClient relationship summaryAll trades