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Client Communications
The SEC’s policy pronouncement provided important 'clarifications' around arbitrations
"First, regulation should respond to a problem, and we have a problem that has been crying out for a solution for decades"
SRO to file new proposed rule changes with the SEC tied to making e-delivery the default method for delivering customer communications
Broker-dealer charged with failing to reasonably supervise its employees' business-related text messages
Regulatory enforcement actions and the increasing use of newer communications platforms are impacting recordkeeping and surveillance trends
Online broker-dealer failed to preserve at least 22.6 million business-related e-comms
The fraudster persuaded Joe that the wired funds were necessary to 'secure' his account and that this was a standard part of the fraud prevention ...
Under settlement, firm will need to retain an independent consultant to review Bank Secrecy Act compliance
FINRA Board of Governors approves rule proposals concerning public communications and carrying agreements
Broker-dealer self-reported its failure to submit to FINRA accurate statistical and summary information regarding written customer complaints