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Tag: FINRA regulations

Blog, Current Investigations

FINRA Examination Findings: Failure of Oversight in Firms

FINRA Examination Findings: firms need to tighten up supervisory systems. Last Friday, the Financial Industry Regulatory Authority...

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Blog, Securities Fraud

FINRA Proposes More Disclosure for Private Placement Offerings

According to canadiansecuritieslaw.com the Financial Industry Regulatory Authority (FINRA) recently “published proposed amendments to its...

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Blog, Securities Fraud

Regulators Require Disclosure Regarding Customer Complaints

Regulators Require Financial Firms to Provide More Public Disclosure Regarding Customer Complaints On May 13, 2009, the U.S. Securities and...

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