Peter Rawlings

Peter Rawlings has covered mutual fund and broker-dealer compliance and regulation for Compliance Reporter since 2013. Prior to that he was an editorial intern for Bloomberg News, where he covered the US corporate bond and credit default swap markets. He has a master’s degree in journalism from Northwestern University’s Medill School of Journalism and a bachelor’s degree in English from Cornell University.

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Atlanta B-D fined over non-traditional ETF supervision

The Financial Industry Regulatory Authority has fined an Atlanta-based broker-dealer $100,000 for recommending leveraged and inverse exchange-traded funds to retail customers without

Peter Rawlings 17 August, 2017

FINRA guides on mark-up disclosure

The Financial Industry Regulatory Authority has given guidance to firms on how to comply with new rules governing the disclosure of mark-ups

Peter Rawlings 18 July, 2017

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