Normativa
Robert W. Cook
FINRA
Por administradorPrivate Banking
FINRA Survey
The Majority of Investors Feel That Their Fees Are Reasonable and Fewer Than Half Are Worried That Sales Incentives Present a Conflict of Interest
NormativaNormativa
SEC y NYAG
Deutsche Bank admite irregularidades y pagará 37 millones por malinformar a clientes sobre el router a dark pools
Normativa
For Fixed-Income Securities
FINRA Receives SEC Approval for Enhanced Price Disclosure to Retail Investors
Nombramientos
JPMorgan Chase
FINRA Names Stephen M. Cutler to Board of Governors
Normativa
2.5 Years Later
PIABA: After Report Detailing BrokerCheck System’s Flaws, No Action Has Been Taken
NormativaNormativa
El grupo FISIO
Un nuevo equipo de la SEC supervisará FINRA
NombramientosNombramientos
Desde Miami
Wells Fargo ficha a Aluizio Pacheco
Por GabrielaHuerta
2016 FINRA Fixed Income
