SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants Effective ...
Training is a critical component of any cybersecurity program. FINRA drives this home in its new Report on Cybersecurity Practices. Regulators are backing up this ...
When your regulator has embraced a risk-based approach to prioritizing exams, it’s always helpful to know what factors are actively being considered. In a speech ...
While FINRA’s long been interested in supervision of branch offices (IA Watch, Dec. 12, 2011), there are signs OCIE’s taking a deeper interest in this ...
Supporting Innovation Through the Commission’s Mission to Facilitate Capital Formation
In a settlement that seems to offer an object lesson to those caught in the regulatory crosshairs, Foothill Securities was censured and fined $210,000 by ...
The Need for Greater Secondary Market Liquidity for Small Businesses
Opening Statement to the March 2015 Meeting of the SEC Advisory Committee on Small and Emerging Companies
Opening Remarks at Meeting of SEC Advisory Committee on Small and Emerging Companies
The word-search lexicon at Garden State Securities in Red Bank, N.J., includes “disappointed,” “complaint,” and “regulator” – as well as “off the record” and “talk ...