The SEC has joined Finra in offering regulatory relief to entities affected by Hurricane Sandy. (SEC) See our coverage of the Finra relief efforts here and here.
The SEC has joined Finra in offering regulatory relief to entities affected by Hurricane Sandy. (SEC) See our coverage of the Finra relief efforts here and here.
Melanie Waddell of AdvisorOne reports that SEC Commissioner Daniel Gallagher has been casting rhetorical aspersions on Finra’s ability to regulate RIAs. (AdvisorOne) Here’s a taste: “Is FINRA becoming a ‘deputy SEC’?” Gallagher, a Republican, asked during a recent speech at a Securities Industry and Financial Markets Association conference. “With all of the issues facing the…
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