regulations Archives — Spencer Law Firm

A Few Minutes with FINRA: Small Firm Advisory Committee Recap

by Ashley Spencer | Sep 24, 2018 | FINRA, Investors

The Small Firm Advisory Committee (“SFAC”) was formed in 1998. Currently, the SFAC chair is Wendy Lanton, of Lantern Investments. The purpose of the SFAC is to relay issues of interest and concern to the FINRA Board of Governors. Also, the SFAC reviews new and amended...

A Few Minutes with FINRA: Small Firm Advisory Committee Recap

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