FINRA Fines Greatly Outpacing 2013 Rate
- Friday, 08 August 2014
- Regulatory & Compliance
An analysis by Sutherland, Asbill and Brennan LLP has concluded that the Financial Industry Regulatory Authority this year has been imposing fines at a rate that greatly exceeds the pace of 2013. So reports Financial Advisor.
Read more...Most Read
-
-
Feb 21 2011
-
Written by Administrator
Add us to your Safe Sender list: We want to…
-
-
-
Nov 07 2012
-
Written by Administrator
Progressive Media Group Subscription Agreement This agreement states the general…
-
-
-
Dec 16 2013
-
Written by PLP Staff
The challenge of working with clients during a soaring bull…
-
-
-
Mar 09 2013
-
Written by Staff Writer
While market bulls are understandably cheering the ongoing equity rally…
-