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FINRA: Regulators (267)
Your search for FINRA: Regulators returned 267 results.
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5/16/2019 | Content area: Broker-Dealer
In new guidance released May 6, FINRA is offering nearly 100 anti-money laundering “red flags” that broker-dealers should be watching for. Way back in...
5/09/2019 | Content area: Broker-Dealer
For two straight years, FINRA has flagged anti-money laundering among its most concerning exam findings (BD Watch, Dec. 20, 2018). But there’s plenty ...
5/02/2019 | Content area: Broker-Dealer
FINRA is putting its money where its mouth is when it comes to assisting broker-dealers in improving their compliance. Last year, the SRO spent $7.3 m...
4/25/2019 | Content area: Broker-Dealer
The rules for statutory disqualification are straightforward enough. Willfully violate the securities laws or commit a felony and you’re subject to di...
4/18/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Annual Budget Summary calls out that the SRO’s regulatory responsibilities remain “extensive and complex” and continue ...
4/04/2019 | Content area: Broker-Dealer
How do you get socked with a $100,000 fine for violations involving less than 1% of your revenue?    The answer shows the continuing importance of non...
3/28/2019 | Content area: Broker-Dealer
They are, in the words of one moderator at SIFMA’s annual compliance and legal conference, “the folks … who have the potential to make your life miser...
3/08/2019 | Content area: Broker-Dealer
With an April 1 deadline nearing, the window of opportunity to take advantage of FINRA’s self-reporting initiative for 529 plans is rapidly closing (B...
2/28/2019 | Content area: Broker-Dealer
A year after FINRA proposed an ill-fated overhaul, regulation of outside business activities and private securities transactions seems to be back with...
2/14/2019 | Content area: Broker-Dealer
It goes without saying that you should be scrupulously reviewing and retaining business-related e-mails. But when FINRA staff makes a point of telling...
2/07/2019 | Content area: Broker-Dealer
FINRA is again questioning the due diligence firms are conducting on private placement offerings (BD Watch, Dec. 20, 2018). But what exactly does the ...
1/31/2019 | Content area: Broker-Dealer
FINRA is taking a page from the SEC’s playbook in announcing Jan. 28 a self-reporting initiative tied to share class recommendations. Under the SRO’s ...
1/24/2019 | Content area: Broker-Dealer
FINRA sees growing problems with reps’ discretionary trading, and the range of conduct under scrutiny is broad. The SRO identified discretionary accou...
1/10/2019 | Content area: Broker-Dealer
The warning system at Cetera Advisor Networks flashed red: a highly productive rep appeared to be engaged in questionable trading.   Hundreds of elect...
1/02/2019 | Content area: Broker-Dealer
Gauging the talents of newly qualified reps is never easy. Now, FINRA has taken a step that may make the exercise even more daunting.   The SRO has qu...
12/13/2018 | Content area: Broker-Dealer
Thinking about hiring a FINRA employee? You might want to think again.   The SRO is tightening conflict of interest rules for ex-officers and other fo...
12/06/2018 | Content area: Broker-Dealer
Settle a case and examiners expect you to right the ship and implement promised reforms (BD Watch, Dec. 21, 2017). H. Beck is your latest peer to disc...
11/21/2018 | Content area: Broker-Dealer
You can pick out two lessons in the story of a billing problem that affected more than 150,000 wealth management accounts at J.P. Morgan Securities.  ...
11/15/2018 | Content area: Broker-Dealer
Memo to FINRA as it contemplates ways to monitor and adapt its rules and regulations to the exploding number of FinTech innovations: Tread lightly, pl...
11/09/2018 | Content area: Broker-Dealer
It’s a common complaint, often dismissed by regulators: small firm managers are disciplined relatively more severely than their counterparts at larger...


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