FINRA’s Top Priorities for 2022
Early in the year, FINRA released their 2022 Report on [...]
11
03, 2022
24
02, 2021
FINRA’s Top Priorities for 2021
Early in the year, FINRA released their 2021 Report on [...]
29
09, 2020
Best Execution Violation Takeaways
Disciplinary actions are often the best way to answer questions [...]
29
04, 2020
Highlights from FINRA Small Firm Conference Call: Part 2
Earlier this month, FINRA hosted a Small Firm Conference Call [...]
11
10, 2019
Best Execution: Compliance for Investment Advisers
Under the Investment Advisors Act of 1940 (the “Advisers Act”), [...]
17
06, 2016
MSRB Rule G-18: Best Execution
MSRB Rule G-18, the new best-execution rule for municipal securities, [...]