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FINRA Arbitration and Mediation: A Compelling Case for Doing Both | JD Supra
JD Supra· 6 days 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 ...
Mary Dunbar on Financial Industry Regulatory Authority (FINRA) | JD Supra
JD Supra· 17 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 Releases Long-Anticipated Guidance on New Work-From-Home Exemption Ahead of Impending COVID-19...
JD Supra· 6 days 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 ...
Are SEC and FINRA Administrative Hearings Unconstitutional? | New York Law Journal
Law.com· 5 days agoIn 1934, Congress created the SEC to regulate the securities industry. In 1938, the Maloney Act...
Crowdfunding: Netcapital Seeks Broker-Dealer License To Boost Potential Revenue Generation |...
Crowdfund Insider· 6 days agoNetcapital Securities Inc. has reportedly applied for broker-dealer registration with the Financial ...
'Your Money': A helpful way to track the performance of bonds
New Hampshire Union Leader· 4 days agoDO YOU have bonds in your investment portfolio but have not found a good way for tracking their...
Former Detroit Mayor Kwame Kilpatrick fighting cash grab by feds in restitution battle
Detroit News· 9 hours agoFormer Detroit Mayor Kwame Kilpatrick continues to fight paying taxpayers almost $825,000 in...
SEC.gov | "Adam Smith, the SEC, Data, and the Public Good" Prepared Remarks Before the 11th Annual...
U.S. Securities and Exchange Commission· 6 days agoIt’s a pleasure to welcome you to the 11th Annual Conference on Financial Market Regulation. As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange ...
Five reasons I’m excited for CW’s Financial Crimes Summit
Compliance Week· 6 days agoWhile agencies like the Securities and Exchange Commission (SEC) are rapidly pushing through new rules, concerns of keeping pace are on the rise. Compliance Week’s Financial Crimes and Regulatory ...
Mutual Fund Fees and Expenses: A Beginners’ Guide
GoBankingRates via AOL· 1 day agoA mutual fund is a pooled collection of investment funds. When you buy shares in a mutual fund, your money is combined with other investors' money. A...