
Hugh Kennedy
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A jount 2019 SEC/FINRA statement aimed at the perceived enhanced risks of custodying digital asset securities has been withdrawn effective immediately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