But How Much Will It Cost? Bachus SRO Hearing Centers on Impact to Small Advisers

The much-anticipated hearing on Rep. Spencer Bachus’ Investment Adviser Oversight Act of…

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by Bettina Eckerle
on
June 8, 2012

FINRA Wants to Make It Easier To Clear Your Good Name

The Financial Industry Regulatory Authority (FINRA) is seeking comment on proposed new…

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by Bettina Eckerle
on
May 22, 2012

FINRA Adopts New Best Execution Rule

The Financial Industry Regulatory Authority (FINRA) has received approval from the Securities…

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by Bettina Eckerle
on
May 7, 2012

What Were FINRA’s Top Enforcement Priorities for 2011?

In 2011, enforcement actions and fines by the Financial Industry Regulatory Authority…

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by Bettina Eckerle
on
April 11, 2012