FINRA, Broker Dealers & Advisory Accounts
http://www.investmentnews.com/article/20180108/FREE/180109944/finra-warns-brokers-about-moving-clients-from-broker-to-advisory?X-IgnoreUserAgent=1
Entries by Shannon Sanderson
FINRA Enforcement in 2018 by Joanna Belbey at FORBES
https://www.forbes.com/sites/joannabelbey/2017/12/30/how-financial-services-firms-should-expect-vigorous-enforcement-from-finra-in-2018/?utm_content=buffera6d0c&utm_medium=social&utm_source=linkedin&utm_campaign=buffer#1e250defd003
FINRA’s 2018 Regulatory & Examination Priorities Letter
http://www.finra.org/industry/2018-regulatory-and-examination-priorities-letter
FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
Jay Gettenberg of ACI is now a District 10 Small Firm Representative.