Financial Firm Fined $250k for Inadequate Supervision of Social Media Influencers
The Financial Industry Regulatory Authority (FINRA) has recently censured a [...]
14
06, 2024
20
05, 2024
The Future of Regulation: FINRA 2024 Takeaways
The 2024 FINRA Annual Conference provided a wealth of information [...]
16
05, 2024
SEC and FinCEN Propose Customer Identification Rules for Investment Advisors
The U.S. Securities and Exchange Commission (SEC) and the Financial [...]
16
05, 2024
Firm Fined Over $700,000 for Regulatory Violations
In a recent development, the Financial Industry Regulatory Authority (FINRA) [...]
11
04, 2024
FINRA Intensifies Enforcement of Reg BI
In a recent settlement with the Financial Industry Regulatory Authority [...]
11
04, 2024
SEC & FINRA Cracking Down on Texting Violations
SEC and FINRA Impose Heavy Fines for Texting The Securities [...]
18
03, 2024
CE Council Releases Q1 Firm Element Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
18
03, 2024
FINRA Fines Up 63% in 2023
Corporate law firm Eversheds Sutherland has recently completed its annual [...]
18
03, 2024
FINRA Talks Generative AI & Large Language Models
The topic of artificial intelligence (AI) and its potential impact [...]
12
01, 2024
FINRA Releases 2024 Regulatory Oversight Report
The Financial Industry Regulatory Authority (FINRA) recently released its 2024 [...]
