Supervision failures connected to 529 share-class recommendations charged
Broker-dealers who do business in Europe will have an extra three years to get their paid research affairs in order after the SEC agreed to ...
“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...
AML compliance failures lead to large fine
SEC Chairman Jay Clayton says there will be no extension on the Commission’s disputed Reg BI standards. “I think people should be ready,” the chairman ...
Latest enforcement action concerning seniors exploitation troubling
Market manipulation scheme employed by China-based traders
Proposals aimed at improving secondary market structure
Broker-dealers would have more discretion in handling the accounts of vulnerable senior investors under an industry proposal submitted to FINRA. The SRO is conducting a ...
Regulators say that small firms are not singled out for enforcement actions, but don’t try telling that to some of your peers. In the last ...
FINRA officials are working their way toward long-promised expungement reforms with a new rulemaking notice that would create a list of specially trained super-arbitrators who ...
FINRA has gotten the jump on the annual release of its examination findings and observations. Traditionally a year-end delivery, the SRO Oct. 16 published its ...
Don’t forget your anti-money laundering obligations under the Bank Secrecy Act if you’re engaged in activities involving digital assets. These cautious words come from the ...
As an experienced lending desk supervisor at a number of broker-dealers, Domenick Migliorato was brought in to Industrial and Commercial Bank of China Financial Services ...
The Ukraine has been getting its fair share of press these days. This time it’s tied to the final judgments against a brokerage firm and ...
FINRA Oct. 8 made available resources to assist firms in complying with the SEC’s Regulation Best Interest and Form CRS by the June 30, 2020 ...
Regulators hate to see repeat violations and will penalize firms for not taking prompt corrective action the first time an issue is cited. UBS Financial ...
FINRA’s second annual report on the state of brokerage firms, registered reps, and market activity paints a good news, bad news picture. The SRO’s 2019 ...
The hits keep coming for blockchain companies conducting unregistered ICOs of digital tokens. Block.one, which offered and sold 900 million tokens and raised several billion ...
Consider that door closed. An attempt by Barclays to “open doors” by hiring the relatives and friends of foreign government officials in a bid to ...
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