Hugh Kennedy
The influencer's and the index provider's fee structure and the lack of disclosure surrounding the engagement proved problematic
Brief was filed against the SEC's approval of a CAT funding model deemed "arbitrary and capricious"
Bill St. Louis recently detailed what's on the horizon for broker-dealer enforcement in 2024
FINRA's annual regulatory oversight report highlights new best execution questions you should answer, including on execution quality reviews
A voluntary, three-year remote inspections pilot program allowing for fulfillment of inspection obligation of qualified branch offices is adopted
New York-based firm was charged by the SEC for not adequately disclosing pre-IPO discussions with a potential acquisition target
SEC Chairman welcomes the coming change to the "market plumbing" of clearance and settlement
Broker-dealer didn't regularly review, assess, or update keywords used by the firm to flag e-mails for review
A FINRA review of more than 500 crypto-asset related retail communications identified "potential violations" in 70% of the communications
Cryptocurrency has found its way onto both the SEC's and FINRA's list of 2024 focus areas