Polsinelli Podcasts - What Matters in Hospital/Physician Arrangements
OCIE Issues Risk Alert Relating to Structured Note Sales - Earlier this year, the SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) indicated branch offices and structured products as two of its...more
FINRA this week released its targeted exam letter requesting information on firms’ conflict-of-interest policies surrounding broker compensation and retail accounts. The sweep follows up on FINRA’s Conflicts Report from...more