Posts from March 2019.
FINRA Releases Its 2019 Annual Risk Monitoring and Examination Priorities Letter

On January 22, 2019, the Financial Industry Regulatory Authority (FINRA) released its Annual Risk Monitoring and Examinations Priorities Letter, which outlined its focus areas for broker-dealer examinations in 2019. While many of these areas are carried over from the...

Posted in FINRA
Woodbridge Ponzi Scheme Targeted Retail Investors: $1 Billion Judgement

The SEC's Division of Enforcement continues its efforts to protect retail investors, gaining reparations for victimized investors in an action against yet another Ponzi scheme. At the end of January, the Securities and Exchange Commission (SEC) announced that the...

Voya Financial Advisors, Inc. -- System Glitch Reveals Broker's Information

Cybersecurity and information security protocols have become industry-wide priorities, both to the regulatory bodies that oversee our business practices and to the customers who trust that firms' policies and procedures are up-to-date and robust. This same principle extends also...

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