Hugh Kennedy
Investment advisers and broker-dealers aren’t doing enough when it comes to protecting seniors from financial fraud, a new NASAA survey reveals. Three-fourths of the respondents ...
Many asset managers, broker-dealers and alternative managers appear to have a lack of confidence when it comes to their firms’ cybersecurity protections, according to the ...
Strong stock market performance in the past year has propelled the aggregate regulatory assets under management of SEC-registered investment advisers to a new record high ...
The SEC’s ReTIRE initiative and the work of the Commission’s broker-dealer task force is continuing to bear fruit—this time in the form of another enforcement ...
Consolidation is the hallmark of two recent actions taken by FINRA. The first will ease reporting burdens and compliance costs for broker-dealers, while the impact ...
Needed new guidance on coming fixed income confirmation disclosure requirements has been released by FINRA. The guidance—in the form of 45 FAQs—is aimed at helping ...
FINRA’s focus on high-risk brokers and the payment of arbitration awards by firms and individuals continues at the SRO. On the heels of a July ...
Broker-dealers are now off and running with the new requirement to report transactions in U.S. Treasury securities through FINRA’s Trade Reporting and Compliance Engine (BD ...
Acting CFTC chairman J. Christopher Giancarlo has long flagged fixing swaps data reporting as a key Commission priority (CPO/CTA Watch, March 16, 2017). The CFTC’s ...
FINRA’s operating revenues declined $54.1 million last year—a 6% decrease—according to the SRO’s 2016 Annual Financial Report released June 30. President/CEO Robert Cook attributed the ...