Fund industry SRO shoots down consolidation, reiterates call for overhaul
New paper promises huge payoff from SRO consolidation
MFDA issues revised guidance on the use of electronic signatures
Regulators will use feedback to develop guidance
The mutual fund representative said he didn't intend to admit to misconduct
The regulator issues a consultation paper on transfer challenges
Almost half of the proceedings launched by the MFDA in 2019 involved allegations of pre-signed forms
The former rep, who was banned for his failure to cooperate with an investigation, was also fined $75,000
Advisors should think twice before destroying records pertinent to an investigation
A hearing panel lacked the evidence to determine the severity of the misconduct