Hugh Kennedy
The analysis phase is expected to wrap by October, transition timeframe to follow
Fraudulent phishing e-mails purport to be from FINRA
Option account opening, account supervision, communications and diligence are the subject of the new FINRA sweep
FINRA reminds that the requirement to maintain a "reasonably designed" supervisory system and WSPs extends to vendors
SEC staff are preparing potential revisions to two whistleblower rules to address whistleblowers coming forward
he Commission has made whistleblower awards to 14 persons in the month of August alone
FINRA's short sale reporting program enhancements proposal yielding a great deal of industry feedback
Risk tolerance, investment objective, financial condition and age ignored with unsuitable VSRP recommendations
First Heartland charged with breaching fiduciary duty for failing to disclose three types of compensation
The imposition of additional obligations on broker-dealers with a significant history of misconduct has been approved