Hugh Kennedy
Firm overstated projected yield and projected annual income for nine money market funds on 8.5 million account statements
The number of brokerage firms has declined 7% over the past five years
FINRA seeks input on SRO's rules, operations and processes that most directly apply to capital raising
First ever Reg BI-related expulsion calls out disclosure obligation requirements
Nearly a half-dozen FINRA enforcement actions tied to Form CRS signal SRO's emphasis on the disclosure form
'Pervasive and longstanding use of off-channel communications' costs two broker-dealers over $70M as recordkeeping initiative continues
Latest enforcement actions are a testament to the value of self-reporting and remediation measures taken
In light of recent exams and disciplinary actions, FINRA has identified areas in which broker-dealers' investigations into private placements could be strengthened
Come June 1, FINRA's BrokerCheck will reveal whether a broker-dealer is designated a "restricted firm" under rules 4111 and 9561
Equity-market based schemes, crypto-based fraud, rep impersonation all on the rise
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