New York Stock Exchange Regulation says it expects to refer 140 potential insider-trading cases to the SEC in 2006, a 26 percent increase from last year and an 105 percent increase from 2004. Fines for the first half of 2006 are up to $3.2 million, just short of the $3.9 million full-year total in 2005.
In our 18th annual Broker Report Card survey, wirehouse FAs say they are fed up with management ruining their excellent franchises and platforms. Will the great advisor diaspora begin?
Cannon’s Concepts For Professionals: A Complete Library of Essential Financial Concepts
This reference book was updated for 2008 and now contains over 900 pages of information on essential financial concepts and wealth management strategies for your work with wealthy clients. The book not only contains brief summaries of each topic, but it also contains many useful diagrams and charts that can be used with clients when explaining difficult financial concepts. The information in this book meets current FINRA/NASD guidelines....
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