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By Melanie Waddell, AdvisorOne |
May 6, 2013
FINRA warned broker-dealers Friday that they were failing to properly communicate to investors the potential pitfalls of nontraded REITs.
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By Melanie Waddell, AdvisorOne |
January 8, 2013
FINRA released in early January an updated set of questions and answers on its new rule on communications with the public.
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By Marlene Y. Satter, AdvisorOne |
January 5, 2012
FINRA has at least partially bowed to comments from member firms and decided not to require social media postings to be regarded as subject to a post-use filing requirement.