Friday, January 22, 2016


FINRA Issues Notice on the Application of the Mark-Up Rule to Exempted Government Securities Transactions

The National Law Review

The Financial Industry Regulatory Authority released Regulatory Notice 16-03, which discusses the Securities and Exchange Commission's approval of amendments to FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal ...



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Pitch perfect presenter, loves the spotlight, and wants to spend more time on stage sharing my words of wisdom. Until TED call me I'll settle for blogging.
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