One of the SEC's top members, Daniel Gallagher claims that investment advisers may be ripping off investors and getting away with it. He fears that many compliance violations are going undetected due to a lack of oversight.
The 2014 FINRA Conference brings together securities industry practitioners, compliance executives, and financial industry regulators to exchange ideas on the latest compliance and regulatory topics. Hosted at the Renaissance Washington, DC Downtown Hotel, the conference will be held over three days from May 19-21, 2014.
FINRA sees uptick in arbitration cases filed in first quarter According to Q1 stats, the number of expected FINRA arbitration hearings in 2014 will exceed the 2013 number. In the first quarter of 2014 there were 1,011 arbitration cases bought before FINRA compared to only 919 last year for the same quarter. Experts had expected