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Searching Content indexed under Securities by Ann Began Furman ordered by Published Date Descending.
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FINRA Requires Order Taker Registration
In late 2017, FINRA pronounced in Regulatory Notice 17-30 that, "Beginning on October 1, 2018, unregistered persons cannot accept an order from a customer under any circumstances.
United States
6 Apr 2018
2
Nevada Securities Act Amendments - What's Next?
Loss resulting from a financial planner's advice subjects a financial planner to fiduciary duty liability.
United States
13 Oct 2017
3
FINRA Fines Firms For WORM Problems
Broker-dealers, including principal underwriters of insurance products, may retain required records in electronic format, subject to satisfaction of longstanding conditions.
United States
11 Apr 2017
4
Regulatory Musical Chairs For Money
The SEC and FINRA continue to play musical chairs with staff resources allocated to examinations of investment advisers and broker-dealers.
United States
20 Jul 2016
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