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 ...
There is a price to pay when you sign off on certifications that your firm is in compliance with “pre-release agreements” for American Depositary Receipt ...
How does FINRA prepare for an exam? What are examiners looking for once they knock on your door? Here’s a peek into one senior examiner’s ...
Consider the cross-winds in advertising regulation. The burden, when it comes to the volume of filings required by FINRA, is going down, but the risks, ...
The North American Securities Administrators Association characterized the recently released findings of a survey of the senior-related practices and procedures of more than 60 broker-dealers ...
More report cards are on the way – as are “heat maps” for setting exam parameters. Regulators are not looking to “nit pick,” however, and ...
It was the very first priority revealed in FINRA’s exam priorities letter released at the start of the year—devoting attention to firms’ hiring and monitoring ...
Despite clear P&Ps on private securities transactions and outside business activity and regular in-person compliance department inspections, an Ameriprise Financial Services rep was able to ...
Long a source of suspicion and frustration for the industry, FINRA officials are pledging to be more transparent about their enforcement efforts. Officials pulled back ...
Filing thousands of Suspicious Activity Reports per year doesn’t necessarily mean your Bank Secrecy Act compliance program hits all of its marks. Alpine Securities Corporation, ...