SEC and FINRA Issue Results of Cybersecurity Examinations – The National Law Review
SEC and FINRA Issue Results of Cybersecurity ExaminationsThe National Law ReviewIn implementing the Cybersecurity Examination Initiative, OCIE staff interviewed key personnel and evaluated information and materials from 57 registered broker-dealers and 49 registered investment advisers relating3 to the firms' practices for …and more »
So You Want to Be an Investment Banker, Doctor? – HCPLive
So You Want to Be an Investment Banker, Doctor?HCPLiveMember organizations must investigate the good character, reputation, qualifications, and experience of personnel they intend to register with FINRA and submit an application to register for the exam on Form U4. In addition, if … If you fail the test …
Why 'Have a blessed day' greeting rattled the Air Force
When some airmen complained, gate guards at Robins Air Force Base in Georgia were told to stop saying 'Have a blessed day.' A minor uproar caused the Air Force to again allow the greeting.