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NEWS INDUSTRY NEWS SEP 09, 2012
Top producers from Merrill Lynch set up own shops

NEWS REGULATION AND LEGISLATION SEP 09, 2012
Training firm boss misappropriated exam questions: Finra

NEWS REGULATION AND LEGISLATION SEP 05, 2012
Training firm boss 'misappropriated' exam questions: Finra

Finra claims a consultant's employees took tests to help prep clients on what would be asked in later exams.

Pershing pushes northward
INVESTING EQUITIES SEP 04, 2012
Pershing pushes northward

NEWS BROKER DEALERS SEP 04, 2012
HighTower still hot, snags $1B team

Dillig Group exits Credit Suisse; eighth recruiting win for HighTower this year

NEWS REGULATION AND LEGISLATION SEP 02, 2012
Expungement ruling could have wide impact

NEWS WIREHOUSES SEP 02, 2012
Finra fighting expungement granted by its own panel

YOUR PRACTICE PRACTICE MANAGEMENT SEP 02, 2012
Fidelity executive: Develop a backup plan

NEWS BROKER DEALERS AUG 31, 2012
Longtime Finra exec stepping down

Luparello headed to law firm; sixteen years at the SRO

In re, BrokerCheck: SIFMA urges Finra to expand 'in re expungement
NEWS REGULATION AND LEGISLATION AUG 31, 2012
In re, BrokerCheck: SIFMA urges Finra to expand 'in re expungement

Association wants to make it easier for brokers to clean up their official records