January, 2020 | Euro Trade Commission

Finra bars broker who sold Future Income Payments Ponzi – InvestmentNews

The Financial Industry Regulatory Authority Inc. Thursday barred a broker who formerly worked at NYLife Securities Inc. and sold Future Income Payments, an alleged Ponzi scheme.

The broker, Kari M. Bracy, worked at NYLife Securities from 2009 to 2019. According

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Jan 7, 2020 Admin News Euro Trade Commission, Euro Trade Commission news

SEC won’t offer any grace period for Reg BI compliance – InvestmentNews

The Securities and Exchange Commission doesn’t plan to let any grass grow under its feet when it comes to checking on the implementation of investment-advice reform by brokers and registered investment advisers.

In its annual examination priorities document released Tuesday,

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Month: January 2020