FINRA, MSRB Plan to Require More Fixed-Income Pricing Disclosure
The new rules would help retail investors evaluate transaction costs, the MSRB said.
FINRA’s Ketchum to SEC: Act Now on Fiduciary, or We’ll Make Our Own Disclosure Rules
Ketchum said, that without action, FINRA would “look hard” at issuing “an additional disclosure rule with respect to broker-dealer firms.”
New Hire Roundup: Westport Resources Promotes DeLaura
This week in new hires, Westport Resources promoted Christopher DeLaura and added Ashley Schexnaildre, and Susan Axelrod was promoted and Jonathan Sokobin was added by FINRA.