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…

Olivia Lee Jones

FINRA supports the SEC's uniform fiduciary standard over the DOL's approach, but the debate is far from over

USA - May 28 2015 Establishing a fiduciary standard for investment professionals has been a topic of debate among regulators, politicians, industry insiders and the…

Heather K. Murphy