SEC Approves FINRA Rules Addressing Conflicts of Interest.
SEC Approves FINRA Rules Addressing Conflicts of Interest in Fairness Opinions. The SEC has approved Rule 2290, proposed by the Financial Industry Regulatory Authority (“FINRA”) for its member firms in connection with the issuance of fairness opinions.  FINRA (formerly known as the National Association of Securities Dealers).
FINRA Releases Report on Conflicts of Interest
FINRA Releases Report on Conflicts of Interest By Jessica Antoniades of Shustak Reynolds & Partners, P.C, posted on Thursday, October 17, 2013. The Financial Industry Regulatory Authority (FINRA) released a new report regarding conflicts of interest in the broker-dealer industry.
Nov 15, 2017 · FINRA board rife with conflicts of interest, new report finds. FINRA is currently in the process of reviewing PIABA’s views on the issue, as well as other letters that were submitted after.
FINRA’s Broker-Dealer Conflicts of Interest SweepThe.
Aug 29, 2012 · Seeking to ensure that broker-dealers identify conflicts and place their customers’ interests above there own, FINRA sent to its member firms, in July, another “Targeted Examination Letter” announcing that it would be conducting targeted examinations (or sweeps) of member practices to review how they identified and managed conflicts of interest.
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