Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
BROKER-DEALER NEWS & GUIDANCE
7/18/2019 | Content area: Broker-Dealer
It’s been over 10 years since FINRA has provided the brokerage industry with guidance on the circumstances under which a firm or individual can influe...
7/18/2019 | Content area: Broker-Dealer
FINRA announced July 17 that its multi-year mutual fund fee waiver initiative has yielded settlements with 56 broker-dealers. The initiative has ultim...
7/11/2019 | Content area: Broker-Dealer
A proposal from FINRA to clamp down on broker-dealers with chronic disciplinary problems has been criticized as regulatory overkill and singularly unf...
7/11/2019 | Content area: Broker-Dealer
Questions have swirled in the industry around the application of the federal securities laws and FINRA rules regarding the custody of digital asset se...
7/11/2019 | Content area: Broker-Dealer
There is a price to pay for not enforcing your brokerage firm’s written supervisory procedures. Summit Brokerage Services WSPs stated that the upwards...
7/05/2019 | Content area: Broker-Dealer
FINRA expects its expenses will again exceed its operating revenues this year. The SRO’s recently released 2018 annual financial report outlining fina...
7/05/2019 | Content area: Broker-Dealer
You’re at a small firm and examiners are coming in. What are the issues they are most likely to surface, and what’s the best way to head them off?    ...
6/27/2019 | Content area: Broker-Dealer
Is FINRA’s consolidated enforcement function a good thing for the industry? Early signs suggest optimism.   An impetus behind the overhaul was concern...
6/27/2019 | Content area: Broker-Dealer
A package of rules adopted by the SEC June 21 represents another significant step toward the establishment of the regulatory regime for security-based...
6/27/2019 | Content area: Broker-Dealer
Donald Fowler previously had the inglorious distinction of being the impetus for an SEC investor alert warning about excessive trading and churning th...
6/20/2019 | Content area: Broker-Dealer
A $42 million settlement announced June 14 by the SEC now represents the largest recovery ever against a broker-dealer in the Commission’s ongoing inv...
6/18/2019 | Content area: Broker-Dealer
As in past years, FINRA’s annual conference in May concluded with an open-ended Q&A with senior staff of the SRO, in effect an opportunity for firms a...
6/13/2019 | Content area: Broker-Dealer
Although there are similarities between the two standards that investment advisers and broker-dealers must live under – each must put their client’s i...
6/05/2019 | Content area: Broker-Dealer
The SEC’s approval by a 3-1 vote of the issuance of an interpretation of the “solely incidental” prong of the broker-dealer exclusion under the Advise...
6/05/2019 | Content area: Broker-Dealer
Broker-dealers have one year to ready for the major changes many will have to make to comply with the SEC’s new Reg BI after the Commission’s 3-1 vote...
5/30/2019 | Content area: Investment Adviser | Broker-Dealer
It may have surprised you to see that SEC commissioners added a 4th element to their scheduled June 5 meeting when they’ll take up their fiduciary dut...
5/30/2019 | Content area: Broker-Dealer
Financial regulators are actively encouraging investment advisers and broker-dealers to train their employees on how best to detect and report suspect...
5/23/2019 | Content area: Broker-Dealer
At least at its annual conference, FINRA goes all out to keep its customers happy. A survey of last year’s event, for example, found one attendee who ...
5/16/2019 | Content area: Broker-Dealer
In new guidance released May 6, FINRA is offering nearly 100 anti-money laundering “red flags” that broker-dealers should be watching for. Way back in...
5/10/2019 | Content area: Broker-Dealer
Nearly a decade after the Dodd-Frank law took effect, SEC commissioners have proposed revisions to how it regulates the law’s provisions related to th...
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