Tags » Broker-Dealer

FINRA Executive Vice President Discusses New and Emerging Complex Products    

On October 29, 2014, FINRA Executive Vice President Susan F. Axelrod discussed new and emerging complex products. Underlying Vice President Axelrod’s speech was a concern for the amount of risk being taken on by firms in search of higher yields. 353 more words

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The East Coast External Mutual Fund Wholesaler is responsible for new business development through all channels (independent, broker-dealer and RIA). He/she will be responsible for marketing a suite of fixed income and global asset allocation funds. 255 more words

Broker Dealer

FINRA Issues Reg. Notice 14-44 on Broker-Dealer and Investment Adviser Renewals for 2015

FINRA issued a regulatory notice regarding BD and IA renewals for 2015. The program begins on November 10, 2014, when FINRA makes online Preliminary Renewal Statements available to all firms on Web CRD/IARD. 91 more words

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