At the start of this month, FINRA ordered Merrill Lynch to return nearly $1.5 million to its customers. FINRA determined that Merrill reps recommended that customers purchase products in brokerage ...
Finra is set to propose a rule that would require brokerages to conduct background checks on new employees. The rule will be considered at the April 24 Finra board meeting, according to an agenda that ...
Every year FINRA publishes its Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs, ...
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