2014 FINRA analysis : a blockbuster year for fines
Year of publication: |
2015
|
---|---|
Authors: | Rubin, Brian ; McCormick, Andrew M. |
Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 16.2015, 2, p. 4-12
|
Subject: | Financial industry regulatory authority (FINRA) | Broker-dealer | Regulatory | Registered representative | Sanctions | Securities enforcement | Regulierung | Regulation | Finanzmarktregulierung | Financial market regulation | Rechtsdurchsetzung | Law enforcement | Two thousand and fourteen |
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