In a landmark settlement against a defunct Florida firm, the SEC has effectively served notice to the industry that the rules surrounding client data are strict and will be enforced under all circumstances.
Suspicious movements in several normally illiquid stocks raised red flags at FINRA as early as 2005, eventually getting the brokerage firm at the center of the trades shut down over a dismal $300,000 in commissions.
Regulatory compliance and advertising review services.
You'll be emailed a discount coupon for $30 off the CFP® Ethics Class after signing up for A4A's $60 quarterly membership, featuring Fritz Meyer, Bob Keebler, and Craig Israelsen.