The Compliance Digest

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FINRA-Exam-Findings

FINRA Releases 2020 Examination Priorities Letter

This year’s letter focused on broker-dealers’ compliance with the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI) and the Customer Relationship Summary, or Form CRS. Read More

FINRA Announces Consolidated Exams in 2020

FINRA recently announced the consolidation of its three exam functions into a single, unified program—a process that began in October 2018. Read More

FINRA Releases Third Annual Exam Findings Report

The 2019 Report focuses on a number of findings and observations, involving: sales practice and supervision; firm operations; market integrity; and financial management. Read More

It’s Here: FINRA’s Top Five “Fine” Categories from 2018

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

FINRA Releases 2019 Examination Priorities

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

FINRA-Exam-Findings

FINRA’s Top 14 Exam Findings from 2018

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

What you Need to Know about FINRA’s ACM Rule

Still need to comply with FINRA's annual compliance meeting requirement in 2018? Provided in this article is a summary of the rule and how to comply. Read More

FINRA Fines up in First Half of 2018

FINRA fines have increased slightly in the first half of 2018, while restitution has dropped from last year, according to a recent report conducted by Eversheds Sutherland. Read More

FINRA Files First Cryptocurrency Disciplinary Action

Investors mined more than 81 million HempCoin through late 2017 and bought/sold the security on two cryptocurrency exchanges, according to FINRA. Read More

CE Council/FINRA Request Comment on CE Program

The Securities Industry/Regulatory Council on Continuing Education (CE Council) is seeking comment on enhancements under consideration for the continuing education requirements for registered persons. Read More