DOJ Circles Back on Corporate Compliance Programs
In a speech on September 15, 2022, Deputy Attorney General [...]
19
09, 2022
12
05, 2022
FINRA Arbitration Claims are Down, But Will it Last?
Data reported by FINRA shows that fewer brokerage customers are [...]
18
04, 2022
FINRA Offers Guidance for Handling OBAs and PSTs
Each year, we anticipate the release of the report on [...]
11
03, 2022
FINRA Requires Supervisor to Complete 40 Hours of CE
According to FINRA’s monthly disciplinary actions, a firm member from [...]
10
03, 2022
SEC Proposes Changes to Address Rising Cybersecurity Concerns
Since 2011, the SEC has offered guidance concerning registrants’ existing [...]
14
02, 2022
Financial Advisors Could See an Increase in Clients in 2022
Have you ever thought about who takes advantage of financial [...]
14
02, 2022
Eight Takeaways from FINRA’s 2022 Examination Priorities Letter
Eight Takeaways from FINRA’s 2022 Exam Priorities Letter It’s planning [...]
14
01, 2022
Enforcement Fines to Financial Firms Declined by Half in 2021
After witnessing a costly year of enforcement fines in 2020, [...]
14
01, 2022
FINRA Proposes to Extend Remote Branch Office Inspections (Again)
It's hard to believe we're starting off another year where [...]
14
01, 2022
FINRA Releases Annual Renewal Program ‘Final Statements’
Although Preliminary Statements are issued in mid-November each year, FINRA [...]
