What Do You Call A Nominating Committee That Doesn’t Actually Nominate Anyone? A FINRA Nominating Committee
More Thoughts On Hold Recommendations In A Reg BI World
For FINRA, Restitution Is The Solution
FINRA’s New MAP Rules Put Customers’ Interests Ahead Of Everything, Including Logic
The Trouble With The “Should-Have-Known” Standard, As It Applies To Red Flags
SunTrust Settlement Proves That Jessica Hopper, FINRA’s Head Of Enforcement, Would Be A Good Umpire
FINRA’s Concerns About Maintaining Confidentiality Seem To Be Broadening
When It Comes To Suitability Violations, There Is No Flattening Of The Curve
FINRA Claims To Be Reasonable When It Comes To Sanctions, But It Is Clear That Permanent Bars Are What It’s All About
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