[authors: Robert S. Frenchman, Julian Rainero, and David S. Sieradzki. The Financial Industry Regulatory Authority (FINRA) has adopted amendments to its new member application (Form NMA) and has also ...
FINRA recently amended its rules in order to strengthen its tools to respond to brokers with a significant history of misconduct and the firms that employ them. The amended rules include FINRA’s ...
We welcome your application to the A&S Dean’s Staff Advisory Committee (SAC) for a three-year term (2025-2028). SAC membership ideally includes broad representation across college divisions and units.
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