The US Securities and Exchange Commission (SEC) published for comment on September 30 a proposed rule change by the Financial Industry Regulatory Authority (FINRA) that would amend FINRA Rule 2231—the ...
Aug 3 (Reuters) - A proposal that would have required brokerages to send account statements to their customers more frequently has been scrapped - at least for now. Sign up here. The Financial ...
On September 16, the Financial Industry Regulatory Authority, Inc. requested comments on a revised proposal to adopt consolidated FINRA Rule 2231 regarding Customer Account Statements. The proposed ...
June 1 (Reuters) - Vanguard Group, the world's largest issuer of mutual funds, was fined and censured by the Financial Industry Regulatory Authority (FINRA) for errors appearing in about 8.5 million ...
Lucas Downey is the co-founder of MoneyFlows, and an Investopedia Academy instructor. Andy Smith is a Certified Financial Planner (CFP®), licensed realtor and educator with over 35 years of diverse ...
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