Legal Guidance for Responding to FINRA’s Rule Violations

The Financial Industry Regulatory Authority (FINRA) plays a crucial role in regulating broker-dealers and ensuring compliance with federal securities laws. As a self-regulatory organization (SRO), FINRA sets standards and enforces rules designed to protect investors and maintain fair and transparent markets. For

The Role of Leadership Competencies in Executive Hiring

Recruiting and selecting individuals for management positions is a crucial aspect of organizational success. Management roles require unique skills such as leadership, decision-making, and strategic thinking, which directly influence the company’s performance and culture. Effective recruitment and selection strategies are essential for