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  1. 130 Questions to Ask When Choosing a Local Search Automation Tool

    Please describe how [VENDOR NAME]'s platform enables compliance for any industry regulations with which you must comply (examples include FINRA, SEC, SOC-2, HIPPA, IROC, FSA, etc. Performing well in local search depends on many different tactics...

  2. SEC incompetence and secrecy over Madoff enrages Congress

    Markopolos went on to describe the SEC as "incompetent and unwilling to take on a big player like Madoff" while the Financial Industry Regulatory Authority (Finra) was characterised as "corrupt and definitely in bed with the [financial services...

  3. Rife insurance

    Source: SEC and Finra Investor Alerts, 2008. Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (Finra) issued investor alerts last year to warn of the investment's complexities.

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  4. Changing Hats

    Prior to her appointment to lead the SEC, Shapiro was chairwoman and chief executive officer of the self-regulating securities body the Financial Industry Regulatory Authority (Finra). Changing Hats Mary Shapiro & Christopher Cox

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