FINRA's 2012 Year in Review
FINRA has released its report, 2012: Year in Review, which lists the agency's major activities over the last year. The review is organized by the following major categories:
- Regulatory Highlights
- Cases Involving Complex Products
- Conflicts, Disclosure and Mispricing Cases
- Disciplinary Actions Ensuring Market Integrity
- Investor Protection and Transparency Initiatives
- Market-Integrity Initiatives
- Crowdfunding
Click here to view news release in full (links externally to FINRA website).