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Finra used 2020 fines to bolster market surveillance, exams, enforcement

Finra spent $90.2 million of fines in 2020 to improve its monitoring of market activity and bolster examination and enforcement programs.

Robert cookFinancial industry regulatory authority incFinancial industry regulatory authorityFinra chief executive robertராபர்ட் சமைக்கவும்நிதி தொழில் ஒழுங்குமுறை அதிகாரம் இன்க்நிதி தொழில் ஒழுங்குமுறை அதிகாரம்

Fee-only RIA firms growing at a healthy clip

The total number of advisory firms with a fee-only model has risen 20% since 2019, according to an analysis of the latest data from the SEC.

United statesNew yorkFisher creekJasper ridgeMill creekSummit rockSanta monicaFoster citySan franciscoJordan parkLos gatosMaritime plazaUnited kingdomLos angelesBrighton jonesBahl gaynor inc

Finra withdraws expungement reform proposal

Finra halted an effort to reform the process by which registered representatives can remove customer disputes from their records Friday.

United statesGary genslerGeorge friedmanAndrew stoltmannDavid meyerFinancial industry regulatory authority incPublic investors advocate bar associationFinancial industry regulatory authorityExchange commissionSecurities arbitrationCentral record depositoryஒன்றுபட்டது மாநிலங்களில்ஜார்ஜ் ப்ரைட்மேன்டேவிட் மேயர்நிதி தொழில் ஒழுங்குமுறை அதிகாரம் இன்க்பொது முதலீட்டாளர்கள் வழக்கறிஞர் மதுக்கூடம் சங்கம்

Form 10-K/A Vy Global Growth For: Dec 31

Form 10-K/A Vy Global Growth For: Dec 31
streetinsider.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from streetinsider.com Daily Mail and Mail on Sunday newspapers.

Cayman islandsNew yorkUnited statesUnited arab emiratesHong kongColumbia universityUnited kingdom generalUnited kingdomCity ofSan franciscoNew zealandGrand caymanUniversity of southern californiaUttar pradeshJames burgessPablo mendoza

Ex-SEC member targets rogue brokers turning to insurance sales

Former SEC member Robert Jackson Jr. co-wrote a study on the dangers posed by rogue brokers who remake themselves as insurance professionals.

United statesRobert jackson jrColleen honigsbergExchange commissionYork university institute for corporate governanceFinancial industry regulatory authority incYork university school of lawNational futures associationNational association of insurance commissionersStanford universityFormer securitiesRobert jacksonNew york university schoolWandering financial advisorsNational associationInsurance commissioners

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