This past week, FINRA very, very quietly released its Annual Report for 2016. Too quietly, as they say in the movies. No press release. No press conference. No media attention at all, hardly. As President Trump just asked about State Election Commissioners who refused to respond to a request from his Election Fraud taskforce for
Annual report
FINRA’s 2015 Annual Report: No Cliffhangers Here
By Alan Wolper on
Posted in Annual Report, FINRA
Yesterday, FINRA released its 2015 Annual Report, and it contained maybe one surprising figure: a decrease in the amount of fines it levied. Beyond that, however, it was more of the same that we have seen over the last few years; just read my blog from a year ago about the 2014 report and…
How Do You Make a Million Dollars? Become Part of FINRA Senior Management!
By Alan Wolper on
I’m not sure that I’m as excited as Navin Johnson was when the new phone books were delivered — https://www.youtube.com/watch?v=-7aIf1YnbbU – but I was pretty happy when FINRA published its 2014 Year in Review and Financial Report. That’s because, at a minimum, I get to enjoy the part where it reveals the compensation paid…