Regulatory Review Checklist: Top three items you will need on-hand when it comes to Advisor Education Activities

Tuesday, May 13th, 2014 and is filed under AI Insight News

Considering the sheer size of the financial industry in the United States, you may think the odds of a regulatory review are fairly slim. However, FINRA Chairman and CEO Richard Ketchum recently stated that while FINRA regulates about 4,100 brokerage firms and about 635,000 registered securities representatives, “we are out there on the ground and in the field every single day—in offices all across the country—overseeing virtually every aspect of the securities business.” Read More