Daily Archives: June 20, 2014, 8:55 am

Message from FINRA Enforcement chief: “talk to me” — Reed Smith

Earlier this week, J. Bradley Bennett, Executive Vice-President, Enforcement for FINRA, spoke at a gathering hosted by SIFMA’s Compliance & Legal Society…. Of particular interest, however, was Bennett’s repeated entreaties throughout his remarks to “ask for a meeting” with him and his senior staff.   Indeed, he indicated his surprise at the paucity of such requests. via Message from FINRA Enforcement chief:…

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