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Broker-dealer self-reported its failure to submit to FINRA accurate statistical and summary information regarding written customer complaints
Denial of petition leads FINRA to consult with the SEC to modify the collateral consequences that came with pre-2025 OCC settlements
The firm's use of the letter was also improper because it required its clients, all of whom are retail clients, to agree to a waiver ...
The latest SEC off-channel communications cases involving an IA and a B-D have set a new fine floor: no civil penalty
Peirce and Uyeda question whether firms "have an achievable path to compliance" when it comes to off-channel communications
The SEC charged 12 municipal advisors for failing to maintain and preserve certain electronic communications
This is the amended Reg S-P rule regarding privacy notices
These are new privacy procedures dictated by the SEC's 2024 revisions to Reg S-P
Less than 2% of survey respondents permit the use of personal e-mail for business communications
Nearly two-thirds of survey respondents flagged off-channel communications as their top compliance concern