Broker- Dealer Law Corner

Broker- Dealer Law Corner

Tag Archives: Annual report

FINRA’s Annual Report: I Wish It Was Fake News

Posted in Annual Report, FINRA
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… Continue Reading

How Do You Make a Million Dollars? Become Part of FINRA Senior Management!

Posted in Annual Report, Board of Governors, FINRA
I’m not sure that I’m as excited as Navin Johnson was when the new phone books were delivered — – 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 to… Continue Reading