Sunday, March 18, 2012

FINRA REACTS TO SEC CHARGES THAT IT MISHANDLED DOCUMENTS

According to the October 11 issue of Investment News, the Securities and Exchange Commission (SEC) has filed a complaint against the Financial Industry Regulatory Authority (FINRA), alleging that requested staff meeting minutes were altered by a FINRA director before they were delivered to the SEC in August 2008. The alterations, according to the SEC, rendered [...]

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