CALL US: (925) 660-7544
Request a free consultation

Tag: finance

18
08 '17

FINRA Increased 2016 Operating Revenue With Record Fines

Investment News reported last week that the Financial Industry Regulatory Authority’s (FINRA) operating revenue decreased while its income from fines nearly doubled in 2016. FINRA made up for a 6%...
10
02 '17

FINRA’s Annual Regulatory and Examination Priorities Letter Highlights High-Risk Brokers

Every year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to help its members understand where FINRA intends to focus its reviews during the coming year. The letter is...