FINRA

The court-appointed monitor in the ongoing SEC case against GPB Capital is turning to a veteran Washington, D.C. fixer to help clean things up, RCW ...

Investment knowledge was found to be particularly low for new investors

The SRO flags 18 priority focus areas grouped into firm operations, communications and sales, market integrity, and financial management

B-Ds encouraged to embrace effective practices employed by their peers

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

Dissent stems from concerns about due process and the right to earn a livelihood

I am not convinced, however, that these protections are adequate given the potentially high stakes of any conditions or restrictions for the viability of a ...

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