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Watchdog (SEC) v. Watchdog (FINRA): Destruction, Doctoring and Deflection
In the first settlement of its kind, FINRA settled with the SEC on October 27, 2011 due to allegations over a 2008 incident where a regional Kansas City office of FINRA doctored documents. The alleged...
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The Social Media Rubik’s Cube: FINRA Solved it First, Are Non-Regulated...
It’s no surprise that the first industry to be heavily regulated regarding social media use was the financial services industry. The predominant factor that drove regulators to address the viral...
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