Results 1 to 2 of 2

SIFMA's C&L Society January Luncheon Addresses FINRA's 2019 Initiatives

USA - January 24 2019 On January 23, 2019, SIFMA sponsored a "fireside chat" between Michelle Bryan Oroschakoff, Chief Legal Officer for LPL Financial LLC, and Robert W…

Regina Pepe Martorana

FINRA Issues its 2018 Report on Examination Findings

USA - December 13 2018 FINRA's 2018 Report on Examination Findings provides important lessons learned from the prior year's examination, surveillance and risk monitoring…

David J. Butler