Posts

FINRA Plans BrokerCheck Changes, Remote Exams – www.ThinkAdvisor.com

http://www.thinkadvisor.com/2017/10/06/finra-plans-brokercheck-changes-remote-exams?page=1&slreturn=1509990198

FINRA is looking to help small Broker-Dealers Survive & Thrive

Per Investment News, FINRA’s new CEO, Robert Cook, is looking for ways to support the small broker-dealers.

http://www.investmentnews.com/article/20171012/FREE/171019969/finra-wants-to-help-the-small-broker-dealer-cook?X-IgnoreUserAgent=1