Hugh Kennedy
Despite the numbers of broker-dealer firms continuing to fall, reps serving the brokerage industry have hit their highest level in five years
Less than 2% of survey respondents permit the use of personal e-mail for business communications
Nearly two-thirds of survey respondents flagged off-channel communications as their top compliance concern
The Commission's newly released regulatory agenda contains 34 items, several of which would impact IAs, B-Ds, and private fund advisers
Firm charged with including impermissible confidentiality language in three settlement agreements with customers
Firm fined for failing to reasonably supervise the transmittal of customer funds through externally initiated ACH transfers by third parties
Barclays twice self-reported violations of the rules relating to research analyst conflicts of interest leading to a $700K fine
A FINRA review of a broker-dealer's advertised trading volume uncovered the overstating of volume on Bloomberg by 2.1 billion shares
The use of financial social media influencers is growing in popularity, which means increased regulator scrutiny
FINRA's rules apply when firms use Gen AI for business just as they do when firms use any other technology or tool