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Hugh Kennedy

Hugh has 35 years of expertise in the financial services industry, with publishing and legal research experience spanning the public company, investment adviser, broker-dealer, credit union and banking industries. As a senior-level manager, award-winning writer and conference speaker, he has covered key issues stemming from the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Labor, Public Company Accounting Oversight Board, NCUA, banking agencies, Capitol Hill, NASAA and other regulators. He has developed and created a number of new publications, online databases and value-added portals serving the needs of financial industry professionals.
Ten questions and answers tackle broker-dealer financial reponsibility and transfer agents
A jount 2019 SEC/FINRA statement aimed at the perceived enhanced risks of custodying digital asset securities has been withdrawn effective immediately
Broker-dealer self-reported its failure to submit to FINRA accurate statistical and summary information regarding written customer complaints
Third-party risk was the single most clicked on topic in the 2025 FINTA Annual Regulatory Oversight Report
FINRA is looking for the sharing of up-to-date information related to firms critical third-party vendors
Denial of petition leads FINRA to consult with the SEC to modify the collateral consequences that came with pre-2025 OCC settlements
SIFMA comment letter focuses primarily on securities status; custody; and tokenization
The IAA urges new SEC chairman to deploy a flexible, principles-based approach to regulations
FINRA makes it clear that the proposed OBA rule contains no new reporting and approval requirements
SEC Chair pledges that market participants engaging with blockchain technology deserve clear regulatory rules
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