- People
- Offices
- Capabilities
back- Capabilities
- Corporate, Finance and Investments
- back
- Corporate, Finance and Investments
- Overview
- Activist Defense
- Alternative Capital and Credit Funds
- Capital Markets
- Construction and Procurement
- Corporate Governance
- Employee Benefits and Executive Compensation
- Energy and Infrastructure Projects
- Financial Restructuring
- Investment Funds and Asset Management
- Leveraged Finance
- Mergers and Acquisitions
- Middle East and Islamic Finance and Investment
- Private Equity
- Real Estate
- Securitization
- Tax
- Technology and Emerging Companies
- Government Matters
- Trial and Global Disputes
- back
- Trial and Global Disputes
- Overview
- Appellate, Constitutional and Administrative Law
- Bankruptcy and Insolvency Litigation
- Class Action Defense
- Commercial Litigation
- Construction and Engineering Disputes
- Corporate and Securities Litigation
- E-Discovery
- Insurance Coverage and Recovery
- Intellectual Property, Patent, Trademark and Copyright Litigation
- International Arbitration and Litigation
- Labor and Employment
- Product Liability
- Professional Liability
- Toxic & Environmental Torts
- Industries
- Careers
- News & Insights
- About
- Languages
Financial Industry Regulatory Authority (FINRA)
News 3 results
In the News · Source: Thomson Reuters Regulatory Intelligence
May 3, 2019
Richard Margolies discusses FINRA's first self-reporting initiative―college 529-plan violations
In the News · Source: MarketWatch
April 30, 2019
Russ Ryan explains why FINRA is concerned that some firms might be recommending unsuitable 529 plans with higher annual costs
Press Release
September 18, 2018
Former SEC and FINRA Official Russ Ryan Returns to King & Spalding