Curious where FINRA focused most of its attention in 2018? Law firm, Eversheds Sutherland, is here to answer that question as they took a look back at FINRA’s monthly disciplinary reports, press releases, and online database. Read More

In this article, we offer five tips to help reinforce the importance of having your representatives pre-disclose potential conflicts of interest. Read More

While many of 2019’s focus areas are largely the same as in 2018 (sales practice risks, senior investors, cybersecurity, etc.), FINRA announced it is shifting its focus to include three new areas of concern. Read More

According to FINRA’s February Disciplinary Actions Notice, a registered representative from Chesapeake, Virginia was assessed a deferred fine of $2,500, suspended from association with any FINRA member in all capacities for three months and required to complete 10 hours of continuing education for failing to complete his Firm Element continuing education. Read More

The rule changes, which take effect February 7, 2019, were designed to enhance the MSRB’s fair practice rules relating to advertising. Read More

If FINRA’s recent cybersecurity report is any indication, Cybersecurity programs will be a top priority for the self-regulatory authority in 2019. Read More

The Report contains many of the same priorities that were included in the 2018 Examination Priorities but with an increased focus on digital assets. Read More

Find out which products and practices the MSRB says could adversely be impacting retail investors. Read More

Password-management company SplashData releases its annual list of the worst passwords of the year. Read More

The Financial Industry Regulatory Authority recently released its annual exam findings, identifying improper activity that it wants to stop. Read More