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By Melanie Waddell, AdvisorOne |
September 4, 2012
FINRA announced Tuesday that Vice Chairman Stephen Luparello, who has been at FINRA and the NASD for more than 16 years, is leaving to join the WilmerHale law firm in Washington.
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By Melanie Waddell, AdvisorOne |
December 2, 2011
The SEC's Office of Compliance Inspections and Examinations and FINRA issued on Wednesday a Risk Alert and a Regulatory Notice on broker-dealer branch inspections, and offered suggestions to help securities industry firms better perform this key supervisory function.
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By Marlene Y. Satter, AdvisorOne |
October 22, 2010
J. Bradley Bennett has been chosen to serve as the new head of FINRA's Enforcement Division.