Hugh Kennedy
FINRA charged B-D for utilizing 400 influencers that posted social media communications that "were not fair and balanced"
FINRA enforcement actions, exam sweep letters, SRO updates on sweeps and prior regulatory notices all serve as resources concerning influencers
The SEC cautions that SARs must contain "a clear, complete, and concise description of the activity, including what was unusual or irregular that caused suspicion"
Former SEC commissioner Paul Atkins has been tapped to lead the Commission, Gensler and Lizarraga to depart in January
New York-based broker-dealer permitted foreign individuals to conduct a securities business using its systems when they weren't registered with FINRA
ACP Securities didn't disclose employee's disciplinary history, FINRA claims
A FINRA examination of Morgan Stanley’s compliance with the market access rule has triggered an enforcement action tied to the firm’s failure to conduct reasonable ...
Broker-dealers typically have trade surveillance and asset movement surveillance functions within their compliance structure
FINRA investigative director offers tips to address new account, ACATS, and ACH frauds
SEC examiners are looking at compliance with newly effective rules, use of technology, cybersecurity, crypto assets and artificial intelligence