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Hugh Kennedy

Hugh has 35 years of expertise in the financial services industry, with publishing and legal research experience spanning the public company, investment adviser, broker-dealer, credit union and banking industries. As a senior-level manager, award-winning writer and conference speaker, he has covered key issues stemming from the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Labor, Public Company Accounting Oversight Board, NCUA, banking agencies, Capitol Hill, NASAA and other regulators. He has developed and created a number of new publications, online databases and value-added portals serving the needs of financial industry professionals.
accounting

Rules refresh may be in the offing

Featured
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Gensler has asked SEC staff to make best execution recommendations

FINRA warns of phishing scheme

Broker-Dealers
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E-mail claims that "late submissions may attract penalties."

Crypto usage on the rise, survey shows

Investment Advisers
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14% of adviser respondents reported using or recommending cryptocurrencies for clients in 2021

Short sale reporting enhancements considered

Broker-Dealers
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FINRA is exploring amendments to its short interest program to improve regulatory and public utility

Robo-adviser charged with defrauding investors

Investment Advisers
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Firm also ran afoul of cash solicitation and documentation requirements, 'ineffective' compliance program cited

Five key trends highlighted by SEC chair

Investment Advisers
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IPOs and SPACs, crypto assets, fintech, data analytics, and private funds are SEC resources focus

Lack of transparency yields SEC charges

Investment Advisers
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Case flags the critical importance of fund advisers being truthful and transparent about risk management

Advanced analytics aid ad reviews

Broker-Dealers
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FINRA flags 21 common marketing methods it is seeing in advertising reviews

Common marketing methods reviewed

Broker-Dealers
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FINRA conducted reviews of over 63,000 broker-dealer communications filings

Snapshot reveals continued decline in firms, reps

Broker-Dealers
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Last year, there were 3,435 FINRA-registered broker-dealers, a 2% decline from the prior year
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