Registration fees for equity crowdfunding portals also on agenda at regulator's Thursday meetingInvestmentNews (December 4, 2013 10:35 am) -- Finra is considering raising the fees related to pursuing…
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Registration fees for equity crowdfunding portals also on agenda at regulator's Thursday meetingMcGladrey Litigation Review (December 4, 2013 10:35 am) -- Finra is considering raising the fees…
sutherland.com (SAC) (December 2013) -- On October 18, 2013, the Public Investors Arbitration Bar Association (PIABA) issued a “study” criticizing FINRA’s expungement procedures. This “study” has…
Regulator zeroed in on wrongdoers through its high-risk program, Ketchum tells senatorInvestmentNews (Nov 22, 2013 11:45 am) -- Finra has identified more than three dozen brokers since the beginning…
Finra should seek to make the arbitration pool more diverse because diversity offers significant benefitsInvestmentNews (Nov 16, 2014 11:01 pm) -- Finra's arbitration process has come under attack…
VepsMagazine (Reuters) (November 13, 2013) -- There are no second acts in American life unless you are a stock broker. Then, there can be third and fourth acts, too.Some brokers who get fired…
Reuters (November 7, 2013 2:35 pm) -- There are no second acts in American life unless you are a stock broker. Then, there can be third and fourth acts, too.Some brokers who get fired have no trouble…
Yahoo!Finance (Reuters) (November 7, 2013 2:35 pm) -- There are no second acts in American life unless you are a stock broker. Then, there can be third and fourth acts, too.Some brokers who get…
Business News Central (Reuters) (November 7, 2013 2:35 pm) -- There are no second acts in American life unless you are a stock broker. Then, there can be third and fourth acts, too.Some brokers…
Bond Case Briefs (October 28, 2013) -- In letters to Ketchum and SEC Markey calls for tougher expungement rules and more effort to throw out roguesSen. Edward J. Markey, D-Mass., is pushing the SEC…