Hugh Kennedy
The director of the SEC’s Division of Investment Management has taken to the stage a third time to drive home the Commission’s focus on alternative ...
It looks like interest rate sensitive securities will make a re-appearance on FINRA’s 2015 exam priorities list. A senior FINRA staffer has cautioned that receding ...
FINRA continues to advance enhancements to its risk-based exam program with a view toward being more data driven and automated. “This data driven approach allows ...
There was a “significant” rise in the number of enforcement actions initiated by state securities regulators against licensed broker-dealer sales agents last year. In its ...
Cybersecurity now stands at the top of the list of principal concerns of the financial services industry. This conclusion can be seen in a new ...
A senior FINRA executive cautions broker-dealers to be sure that their supervisory systems are designed to ensure compliance with Regulation SHO. Brad Bennett, FINRA’s executive ...
Entities are increasingly popping up whose business model is based specifically on providing “accredited investor” certification services. “The need is out there due to the ...
Everyone from the White House on down seems focused on enhancing the industry’s cybersecurity preparedness and practices. Last week, President Obama released an executive order ...
Regulators are fully dialed in to high frequency and algorithmic trading as a focus area. Last week’s “first-ever” market manipulation case against a high-frequency trader ...
Despite revisions instituted to placate initial dissention, FINRA’s controversial Comprehensive Automated Risk Data System is still being widely panned. The SRO’s new CARDS rule proposal ...