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FINRA Announces Results of Governor Elections

FINRA Announces Results of Governor Elections
itbusinessnet.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from itbusinessnet.com Daily Mail and Mail on Sunday newspapers.

United statesRoss school of businessEric nollScotta curtisRobert cookJim nagengastWendy lantonSmall firm advisory committeeFounding principal of herold lantern investments incRaymond jame private client groupFirm governorRaymond james financial servicesRegulatory oversight committeeDenison universityUniversity of michiganGovernance committee

FINRA Announces Results of Governor Elections

FINRA Announces Results of Governor Elections
streetinsider.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from streetinsider.com Daily Mail and Mail on Sunday newspapers.

United statesRoss school of businessEric nollWendy lantonRobert cookJim nagengastScotta curtisRegulatory oversight committeeFounding principal of herold lantern investments incRaymond james financial servicesDenison universitySmall firm advisory committeeFirm governorUniversity of michiganRaymond jame private client groupGeorge washington university

Financial Professionals Coalition seeks to help disenfranchised advisors

Former Finra board member Stephen Kohn says the group will help advisors with questions about careers, disciplinary records and much else.

Linde murphyBill singerStephen kohnSally jenkinsWendy lantonSmall firm advisory committeeStephena kohn associatesFinancial industry regulatory authority incFinancial professionals coalitionAdvisor groupBley investment groupFinancial industry regulatory authorityRita de ramosBley investmentFinra boardSportswriter sally jenkins

AI Recommendations Can Still Fall Under Reg BI, FINRA Exec Warns

A senior director with FINRA told attendees at its annual conference AI-generated customer recommendations can still fall under the SEC's Reg BI rule.

United statesNicole mccaffertyChris kellyEvan charkesKerry gendronJulie glynnWendy lantonGary genslerAmerican securities administrators associationLabor departmentBest interestFinancial crimes detection programsChase wealthEnforcement director chris kellyMerrill lynch private wealth

IBD Elite 2022: Brokers and brokerages aren t going away

The word 'broker' carries negative connotations. But to many wealth management professionals, commission-based shops are valuable to a transforming industry.

New yorkUnited statesNew jerseySankt peterburgSan franciscoDale brownKnut rostadMeen choi arizentTed swensonCarolyn armitageWendy lantonWayne bloomFinancial services instituteThrivent advisor network carolyn armitageCommonwealth financial networkCommonwealth financial network wayne bloom