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"i-think" by Imhoff Consulting Project

A nice place to visit for thoughts on securities regulation enforcement and for compliance reminders.

Showing posts with label FINRA fee increases. Show all posts
Showing posts with label FINRA fee increases. Show all posts

Monday, December 7, 2009

Prepare Your Job Application

I just read this: Investment News Article about Well-Paid FINRA Execs .

Does it explain this: Notice 09-68 about Fee Changes (and Renewal Increases) ?

and this: Notice 09-67 about Reg Element Fee Increases ?

Wow.
Posted by Sharon at Imhoff Consulting Project at 2:23 PM No comments:
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Sharon at Imhoff Consulting Project
Consultant to FINRA members. Specializing in custom compliance services: writing, research, reviews.
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