The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has published a risk alert warning of widespread deficiencies in broker-dealers’…
Read MoreIn its 2019 Risk Monitoring and Examination Priorities Letter, The Financial Industry Regulatory Authority, FINRA, announced its 2019 priorities examination…
Read MoreSince the financial crisis of 2008, consumer advocates and the financial services industry both have advocated for a heightened standard…
Read MoreIt is every registered person’s nightmare. You receive a letter from a FINRA office notifying you that you are the…
Read MoreAs a sign of just how serious FINRA considers failures by brokers to comply with their firm’s Outside Business Activity…
Read MoreOn April 18, 2018, the SEC voted 4 to 1 to propose the Standards of Conduct for Investment Professionals Rule…
Read MoreIn an effort to locate and identify brokers who excessively trade their clients’ accounts to benefit themselves through excessive trading…
Read MoreSignaling the next chapter in the slow moving “fiduciary rule” saga, the Securities and Exchange Commission will meet next week…
Read MoreEach year, the Financial Industry Regulatory Authority (FINRA) outlines its core areas of focus through its annual Regulatory and Examination…
Read MoreFINRA has issued new guidance on the use of social media and digital communications for member firms [...]
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