Initiative has yielded $2.7M in restitution to customers owning 3,900 accounts
Supervisory failures resulted in reps making unsuitable recommendations and excessively trading accounts
Broker-dealer compliance officers have been handed a scoresheet for preparing for SEC exams checking on compliance with Reg BI via a new statement from the ...
Largest source of revenue not detailed in retail communications over a three-year period
Dissent stems from concerns about due process and the right to earn a livelihood
Scheme involved investments in purported consumer debt portfolios
The pandemic conditions necessitating the original extension "persist and in fact appear to be worsening"
Continuing ed, security-based swaps, and statutory disqualifications addressed in proposals
It is believed that DLT "has the potential to revolutionize the markets"
This time, the domain name to watch out for is "invest-finra.org"