finra
Amendment would give Finra expanded oversight over brokers’ RIAs – InvestmentNews
The Financial Industry Regulatory Authority Inc. could be given the power to oversee any adviser associated with a registered broker-dealer, which includes dually registered members under an amendment to the Investor Protection Act. The amendment …
FINRA Looking into Social Networking as a Business Tool – IT Business Edge
I thought I’d covered the risks posed by Facebook and other social-networking sites from every possible angle already, but today I found a new one. Reuters reported Tuesday that the Finanacial Industry Regulatory Authority has formed a task force to …
AMF and FINRA Sign MoU on Financial Market Surveillance and … – Yahoo Finance
PARIS–(BUSINESS WIRE)–Richard G. Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority (FINRA), and Jean-Pierre Jouyet, Chairman of the Autorité des marchés financiers (AMF), signed on 19 October 2009 a memorandum of …
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