Christopher Grobbel

FINRA Proposes Extending The MQP CE Window

FINRA Proposes To Add 'Knowledgeable Employees' To Category Of Persons Who May Receive Projections And Targeted Returns Under Rule 2210

SEC To Ban Exchange Volume-Based Pricing Tiers

FINRA Approves Remote Branch Inspection Pilot Program

FINRA (Finally) Adopts Work-From-Home Supervisory Location Category And Requirements

SEC Expands Dealer Definition To Capture Large Traders Regularly Providing Liquidity To The Markets

Crypt-D'OH! FINRA Says 70% Of BD Crypto Asset Communications Are Deficient

FINRA Publishes 2024 Annual Regulatory Oversight Report

FINRA Kicks Off The Holiday Season With A Proposal To Permit The Use Of Some Projections And Targeted Returns

SEC EXAMS Division Announces 2024 Priorities Ahead Of Schedule