This content is from: Premium A Rising Tide in Thematic ETFs Institutional investors eye a wave of opportunity. By Sponsored by iShares January 27, 2023
FINRA Enforcement Chief To Step Down Susan Merrill, head of enforcement at FINRA, is quitting. March 19, 2010
Sponsored Finra Adds Education Foundation President The Financial Industry Regulatory Authority has selected Gerri Walsh head of its investor education subsidiary and president of the Finra Investor Education Foundation. October 04, 2011
Sponsored FINRA Fines Santander Unit Over Structured Products The U.S. Financial Industry Regulatory Authority has fined Santander Securities of Puerto Rico USD2 million for deficiencies in its structured product business. April 14, 2011
This content is from: Portfolio Industry Bashes FINRA Foreign Finder Pitch Financial Industry Regulatory Authority plan to eliminate rules on paying foreign finders raises complaints about compliance. March 01, 2010
Sponsored TD Ameritrade: RIAs To Pick SEC Over FINRA TD Ameritrade is requesting the Congress to leave investment adviser firms under the watch of the Securities and Exchange Commission. February 07, 2011
