The Office of Compliance Inspections and Examinations (OCIE) released a risk alert outlining findings of examinations it conducted as part of its Supervision Initiative...
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...
If you run afoul of FINRA rules and regulations, FINRA has the authority to fine, suspend or bar brokers and firms from the industry. Depending on the violation, when it was discovered, and by whom, you may be faced with...
When the SEC released its list of exam priorities for 2018, no one was surprised to learn that one of last year's themes concerning the protection of retail investors (and by extension, aging investors) continues into 2018. To quote the...
FINRA expungement has been, and continues to be, a topic of intense discussion. We've discussed expungement in regard to customer complaints, as well as intra-industry issues, in just the past year. This continuation on the theme concerns a FINRA...
On the surface, a Form U5 seems straightforward. Direct from FINRA's general instructions, it's the uniform termination notice for securities industry registration. A firm must file a Form U5 anytime one of its registered employees leaves the firm. The...
- Investment Adviser Wearing Multiple Hats Charged by SEC for Defrauding Clients
- Charging Fees for Inactive Accounts can be as Problematic as Churning
- SEC: Prudential Failed to Disclose Conflicts of Interest to Fund Boards
- SEC Charges Investment Bank Junior Analyst with Insider Trading
- SEC Files Charges in Fraudulent Token Manipulation Scheme
- OCIE Risk Alert: Guidance for Compliance, Supervisory and Disclosure Procedures
- Jury Returns Verdict for SEC in Case Against Broker Charged with Fraudulent Excessive Trading
- SEC Charges Investment Advisor with Defrauding Clients by Failure to Disclose Conflicts of Interest
- Charging Clients Fees Not Disclosed in Form ADV: State Street Settles with SEC for $88 Million
- The CFP's Revised Code of Ethics and Standards of Conduct Takes Effect
- Office of Compliance Inspections and Examinations (OCIE)
- Investment Advisers
- Form U5
- Ponzi Scheme
- Advisers Act
- Aging Clients
- Regulation Best Interest
- Due Diligence
- Virtual Currency
- Dodd-Frank Act
- Transition Services
- Private Equity
- Private Funds
- Personally Identifiable Information (PII)
- Government Shutdown
- Hedge Funds
- Regulatory Examinations
- Risk Alert
- Securities Law
- Social Media Marketing
- Exchange-Traded Funds (ETFs)
- Investment Company Act
- Rule 6c
- Broker Protocol
- Wells Fargo
- Policies and Procedures
- Securities and Exchange Commission (SEC)