During a May 19, 2021 webcast at the Financial Industry Regulatory Authority’s (“FINRA”) annual conference, Amy Sochard, FINRA’s Vice President of Advertising Regulation, indicated that the organization will seek public...more
6/2/2021
/ Broker-Dealer ,
Competition ,
Disclosure ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Gamification ,
Investigations ,
Investors ,
Regulation Best Interest ,
Risk Factors ,
Securities and Exchange Commission (SEC)