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JD Supra: FINRA Arbitration and Mediation: A Compelling Case for Doing Both
JD Supra· 3 hours agoThe Financial Industries Regulatory Authority (FINRA) has created a parallel universe for handling disputes outside of the regular court system. It’s a bit like a sci-fi heroine finding herself ...
What is FINRA and what does it do?
Bankrate via Yahoo Finance· 3 days agoFinancial Industry Regulatory Authority, or FINRA, is a self-regulatory organization authorized to regulate U.S. stockbrokers ...
Peter Waltz on Financial Industry Regulatory Authority (FINRA) | JD Supra
JD Supra· 20 hours agoJD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra ...
FINRA Emphasizes the Responsibility of All Dispute Resolution Participants to Avoid Disclosure of...
JD Supra· 6 days agoThe Financial Industry Regulatory Authority (FINRA) published guidance* to remind parties, attorneys, arbitrators, ...
Trump Media asks Nasdaq to cooperate with investigations into trading of its shares
MSN News· 4 days ago(Reuters) - The company that owns Donald Trump's social media platform Truth Social said on Tuesday...
FINRA Guides Firms to Build Investor Protections Around AI Tools
Bloomberg Law· 2 days agoWhile AI use increases, the Financial Industry Regulatory Authority recently updated its advertising regulation FAQs ...
JD Supra: FINRA Releases Long-Anticipated Guidance on New Work-From-Home Exemption Ahead of...
JD Supra· 1 day agoFINRA’s guidance sheds further light on the new rule, which will permit firms to elect “non-branch” designation for a private residence where an associated person conducts specified supervisory ...
CEO of David Lerner faces Finra investigation over product sales - InvestmentNews
InvestmentNews· 4 days agoMartin Walcoe, the CEO and president of David Lerner Associates Inc., is the latest senior executive...
Trump stock down amid "serious anomalies"
Newsweek· 3 days agoShares of Trump Media & Technology Group are down on the past week amid former President Donald Trump's legal woes and allegations by the company of...
Why Banks And Brokerage Firms May Be Ordering Workers To Return To The Office
Forbes· 6 days agoWall Street brokerage firms, such as Barclays, Citigroup and HSBC, are requiring thousands of...
