Hugh Kennedy
FINRA has announced that it is conducting a targeted exam sweep with respect to non-traded business development companies. The SRO is asking that selected broker-dealers ...
You can pull this one out of your files when you find the need to drive home the point that it’s wise to heed multiple ...
It’s been nearly two years in the making but FINRA is now moving on proposed amendments and new rules tied to gifts, gratuities and non-cash ...
Futures commission merchants, swap dealers and major swap participants will get an extra 30 days to file their chief compliance officer annual reports under proposed ...
An enforcement action brought Aug. 2 against a Eugene, Oregon-based investment adviser has further driven home the SEC’s focus on share class issues. Placing a ...
Concerns about the fallout from a line of judicial decisions addressing broker-dealers use of arbitration forum-selection clauses in customer agreements has triggered a regulatory notice ...
FINRA has fined Barclays Capital $1.3 million for “systemic” Order Audit Trail System reporting violations. The SRO discovered 15 system issues at the firm that ...
A CFTC staff advisory released July 25 clarifies that additional supervisory reporting and consultative relationships for CCOs of swap dealers, major swap participants, and futures ...
Only just over one-third of the 25,000 American adults participating in the FINRA Investor Education Foundation’s national financial capability study would be considered to have ...
Investment advisers failing to disclose loans from broker-dealers to their clients are squarely in the crosshairs of the SEC’s exam and enforcement staffs. This message ...