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By Melanie Waddell, AdvisorOne |
May 7, 2012
FINRA announced Monday that it has hired Robert L. D. Colby as its chief legal officer to oversee the corporate and regulatory functions of the Office of General Counsel, along with the Regulatory Policy Group.
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By Editorial Staff |
April 1, 2009
In a field where they make up barely 25% of practitioners, women in wealth management are changing the style and tone of the profession. Just...
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By Kara P. Stapleton |
August 1, 2007
NASD Chairman Mary Schapiro announced July 12 that the new self-regulatory organization formed by the consolidation of NASD and NYSE Member Regulation will be called...
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By Melanie Waddell, AdvisorOne |
June 21, 2007
Mary Schapiro announced in a speech June 19 that the new self-regulatory organization (SRO) formed by the consolidation of NASD and NYSE Member Regulation is called the Securities Industry Regulatory Authority (SIRA).
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By Kara P. Stapleton |
April 1, 2007
Utah's House of Representatives voted in March 167-7 to pass legislation that repeals a May 2006 Utah statute requiring B/Ds to inform the state's Division...
