Fund companies need not report all social media postings
Investors should know up front about any potential conflicts of interest
Rule aims to address conflicts of interest that can arise when firms offer significant financial incentives to recruit reps but don’t tell clients
U.S. regulator giving US$1.12 million in grants to libraries to fund education programs
Free, or reduced-fee mediation available to cases involving claims of US$50,000 or less
U.S. regulator intends to use the information to develop rules specific to the portals
U.S. regulator sees increase in disciplinary cases
FINRA orders Pruco Securities to pay US$10.7 million
FINRA reviewing conflicts of interest
CEO and CFO of WJB Capital Group sanctioned