- Report from FINRA Board of Governors Meeting – December 2019
- LORD ABBETT DEVELOPING GROWTH FUND, INC. (0000276914) (Filer)
- INVESTMENT HOUSE FUNDS (0001160363) (Filer)
- CERNER Corp (0000804753) (Filer)
- NORDSON CORP (0000072331) (Filer)
- DOMINION ENERGY, INC (0000715957) (Filer)
- FINRA Announces Senior Leadership Team Under New Examination and Risk Monitoring Program Structure
- New FINRA Foundation Research: Two-thirds of U.S. Investors Fail Investing Quiz and Face Confusion about Investment Account Fees
- FINRA Expands Transparency of OTC Equity Trading Volume
- New Research: Financial Well-Being of U.S. Military Veterans Improving, Surpassing Non-Veterans
- FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes
- As advisors start to 'age out,' firms look to step up succession planning
- Fisher withdrawals top $3 billion as Texas retirement plan exits
- Fisher Investments outflows surpass $2.5 billion as Los Angeles pension departs
- FINRA Fines BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. $15 Million for AML Program and Supervisory Failures