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Searching Content indexed under Finance and Banking by Lauren Navarro ordered by Published Date Descending.
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Heightened Supervision Of Branch Offices — Tips For The Coming Year
In recent years, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) have heightened their expectations of what constitutes a "comprehensive" branch self-inspection program.
United States
15 Dec 2014
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New FINRA Supervision Rules Impact Broker-Dealers’ Insider Trading Procedures And Supervisory Controls
Financial Industry Regulatory Authority rules require member firms to establish and maintain a system of written procedures to supervise the activities of its members.
United States
3 Feb 2014
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