Selected FINRA notices and disciplinary actions, September 2012‐April 2013
Year of publication: |
2013
|
---|---|
Authors: | Davis, Henry A. |
Published in: |
Journal of Investment Compliance. - Emerald Group Publishing Limited, ISSN 1758-7476, ZDB-ID 2048718-6. - Vol. 14.2013, 2, p. 66-80
|
Publisher: |
Emerald Group Publishing Limited |
Subject: | United States of America | Financial Industry Regulatory Authority (FINRA) | Securities and Exchange Commission (SEC) | Private placements | Margin requirements | Trading and quotation halts | Mortgage‐backed securities | Securities | Regulation |
-
Heightened supervision of branch offices
Nathan, Daniel A., (2015)
-
Broker-dealers need to respond to recent focus on cybersecurity threats
Petron, David, (2014)
-
FINRA Rule 5123 requires filings for certain private placements sold by broker‐dealers
Miller, Martin R., (2013)
- More ...
-
Fabozzi, Frank J., (2008)
-
Davis, Henry A., (2008)
-
Summary of selected FINRA regulatory notices April - June 2010
Davis, Henry A., (2010)
- More ...