Tuesday October 21, 2014

Recent News

FINRA issues warning about confidentiality provisions

FINRA issued a notice reminding firms that confidentiality provisions in settlement agreements and the arbitration discovery process do not prevent an individual from reporting to FINRA or other

SEC risk alert outlines deficiencies found in brokers’ handling of penny stock sales

Concurrently with the announcement of an enforcement action against two broker-dealers for the improper sale of penny stocks through unregistered offerings, the SEC issued a risk alert and FAQs to

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