US: Broker-Dealer Settles FINRA charges for failing to supervise Representatives’ Trading Activity www.findknowdo.com/news/07/03/2019/broker-dealer-settles-finra-charges-failing-supervise-representatives-trading?utm See also: www.findknowdo.com/news/07/08/2019/broker-dealer-settles-finra-charges-failing-supervise-private-securities?utm www.findknowdo.com/news/07/15/2019/broker-dealer-settles-finra-trade-reporting-charges-relating-exercise-otc-options?utm www.findknowdo.com/news/07/15/2019/broker-dealer-settles-multiple-state-charges-selling-unregistered-securities?utm 0 Share this:Click to share on LinkedIn (Opens in new window)Click to share on WhatsApp (Opens in new window)Click to share on Twitter (Opens in new window)Click to share on Facebook (Opens in new window) September 9, 2019 webmaster Banking, US Banking, US Romania: Status quo of the Implementation of the AML4 directive Spain: Supreme court rules that crypto-currency cannot be considered as money in landmark judgment