FINRA’s Expectations (Reg Notice 22-11)
FINRA issued Regulatory Notice 22-11 in April to remind broker-dealers of their obligations in the sale of alternative…
FINRA issued Regulatory Notice 22-11 in April to remind broker-dealers of their obligations in the sale of alternative…
The SEC’s Division of Examinations (“EXAMS”) posted its observations concerning registered investment advisers’ compliance with Section 204A of…
MENOs and MEORs and MEOFs, Oh My! – A High-Level Overview of CAT Reporting The Consolidated Audit Trail (CAT) is…
Industry participants know that FINRA’s monthly posting of its “Disciplinary and Other FINRA Actions” offers insight into its…
Reporter Dalvin Brown advised that “deleting old social-media posts is good hygiene, no matter who you are.” See…
In Regulatory Notice 22-10, FINRA offers the broker-dealer community guidance on when it will consider charging a Chief Compliance…
In Regulatory Notice 22-08, FINRA reminds its membership of their obligations when selling certain products and invites comment…
FINRA just posted guidance on potential Chief Compliance Officer liability stemming from Rule 3110 violations in Regulatory Notice…
The 2022 Report is Worthy Reading for Every Compliance Officer If you are in the broker-dealer industry, reading…
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also…
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