Author: D. Daxton White
FINRA Announces Focus on Risks of Certain Tax-Exempt Bonds
According to reports, the Financial Industry Regulatory Authority’s municipal market priority this year will be to ensure that...
Step in the right direction on nontraded REITs?
According to reports, the Investment Program Association, a national trade association representing companies that offer direct investments...
SEC Charges ex-Jefferies Executive with Defrauding Investors
The Securities and Exchange Commission recently charged a former executive at New York-based broker-dealer Jefferies & Co. with...
LPL Beefing Up Compliance In Wake of Massachusetts Lawsuit
According to a report in the Investment News, LPL has told its 13,000 registered reps and investment advisers that it is cracking down on...