Insight: FINRA exam overhaul

Last year the Financial Industry Regulatory Authority (FINRA) announced of an overhaul of the representative level exams program, which goes into effect in less than four months.
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ETFs
SEC proposes rules for Exchange Traded Funds6 July 2018 / ArticleThe SEC has unveiled a proposal which would lower the barriers to entry for the ETF market and make the process for approval more robust. A ‘focus on the main street investor’ was cited as one of the SEC’s five core principles in the Division of Enforcement’s 2017 Annual Report. The Exchange Traded Fund market in the US is currently valued at
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