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FINRA News
- FINRA Names Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence
- FINRA Foundation Research Examines Investors of Color
- FINRA Publishes 2024 Regulatory Oversight Report
- New Members Appointed to FINRA Foundation Board; Jonathan Sokobin Named Chair
- FINRA Publishes Crypto Asset Communications Sweep Update
- FINRA Fines Morgan Stanley $1.6 Million for Municipal Securities Violations and Related Failures
- FINRA Announces Three New Governors on Its Board
SEC News
- SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management
- SEC Issues Second Fee Rate Advisory for Fiscal Year 2024
- SEC Charges Five Investment Advisers for Marketing Rule Violations
- Register for the SEC’s 43rd Annual Small Business Forum April 16-18
- SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
- SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month
- SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
FirstMark News
- Join Mitch Atkins on a Regulation Best Interest Panel
- Join Mitch Atkins at the FINRA Arbitration and Enforcement Regional CLE Program
- Mitch Atkins to Speak at 2019 FMA Securities Compliance Seminar
- Atkins Discusses FinCEN CDD Rule on FINRA AML Panel
- AML Surveillance – Major FINRA AML Case
- Mitch Atkins Presenting at FINRA South Region Conference
FirstMark Regulatory Solutions, Inc.
150 E. Palmetto Park Road, Ste. 800
Boca Raton, FL 33432
(561) 948-6511
https://firstmarksolutions.com
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Boca Raton, FL 33432
(561) 948-6511
https://firstmarksolutions.com
Follow Us on LinkedIn: