Firm Pays $275K for TRACE Reporting Failure
A FINRA member firm has agreed to pay a $275,000 [...]
13
06, 2025
13
06, 2025
FINRA Proposes Sanction Delays After Court Ruling
Following a 2024 U.S. district court ruling in favor of [...]
16
05, 2025
Breaking Down IAR CE Credits – Ethics & Professional vs. Products & Practice
As more states adopt the IAR CE rule, firms and [...]
16
05, 2025
FINRA Forward: Evolving the Regulatory Framework
In an era of rapid technological change and evolving workplace [...]
16
05, 2025
SEC Uncovers $91M Ponzi Scheme
In a recent enforcement action, the SEC charged a trio [...]
11
04, 2025
FINRA Announces Initiatives to Reduce Regulatory Burdens
In a recent address at a Securities Industry and Financial [...]
11
04, 2025
NASAA Moves to Prohibit Use of “Advisor” Title
The North American Securities Administrators Association (NASAA) recently voted to [...]
17
03, 2025
FINRA Enforcement Patterns Emerge in 2024 Sanctions Study
Eversheds Sutherland has released its annual analysis of FINRA disciplinary [...]
14
03, 2025
The CCO’s Guide to Building an Effective Firm Element Program for 2025
Recent FINRA examination findings show that many firms struggle with [...]
14
03, 2025
Fintech Broker-Dealer Hit With $29.75 Million Settlement
A prominent fintech broker-dealer has been hit with a significant [...]
