Once regulators publicly identify their priority focus areas, they tend to further emphasize the priorities with enforcement actions illustrating the issue. That is certainly the ...
A finding of systemic supervisory failures can be awfully costly. Just ask Meyers Associates. In a Jan. 4 decision, the National Adjudicatory Council upheld ...
Despite revenue challenges and regulatory responsibilities that FINRA says are “as extensive and complex as ever,” the SRO won’t turn to an increase in firm ...
Merrill Lynch’s decision late last year to pay $26 million to settle allegations relating to its anti-money laundering program shows the problems large firms face ...
To their supporters, compensated non-attorney reps—aka NAR firms—are one of the few ways that a small investor can recoup losses in arbitration. To their detractors, ...
A new, toll-free helpline dedicated to small broker-dealers is the latest in a laundry list of recent actions taken by FINRA to enhance the support ...
Come October 1, those new applicants looking to register as reps will have to pass a general knowledge examination—the Securities Industry Essentials Exam (BD Watch, ...
Forms BD, U4, U5 and other registration forms contain personal information that must be protected. FINRA has released guidance on how to protect this sensitive ...
From a compliance perspective, anti-money laundering programs have always drawn special attention. AML was recently highlighted by FINRA in its first-ever consolidated exam findings report ...
FINRA has released its 2018 regulatory and examination priorities letter. The 10-page letter includes new topics as well as ongoing focus areas. Fraud, high-risk firms ...