The Financial Industry Regulatory Authority (FINRA) is a government-authorized not-for-profit organization that oversees U.S. broker-dealers to ensure that everyone can participate in the market with confidence. Every year, FINRA publishes its areas of focus for the ongoing execution of its mission to protect investors and market integrity.
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...
- SEC Grants Regulatory Relief for Firms Affected by COVID-19
- SEC Examination Focus: Four Considerations for Vendor Relationships Within Your Business Continuity Plans (BCP)
- Old, Familiar Fraud Found in New, Innovative Investments
- An Important Lesson About Marketing Materials and Risk
- Getting Ahead of the Curve: FINRA’s Areas of Focus for 2020
- Internal Control Failures Cost MetLife $10 million in SEC Settlement
- Another Technology Company Settles SEC Charges Over ICO Violations
- SEC Proposes Updated Definition of Accredited Investor, Qualified Institutional Buyer
- How to Avoid Legal Problems and Foster a Culture of Regulatory Compliance
- Inside the SEC’s Proposed New Rules for Financial Advisor Advertising
- Securities and Exchange Commission (SEC)
- Investment Advisers
- Due Diligence
- Advisers Act
- Policies and Procedures
- Securities Law
- Office of Compliance Inspections and Examinations (OCIE)
- Ponzi Scheme
- Aging Clients
- Form U5
- California Consumer Privacy Act (CCPA)
- Virtual Currency
- Dodd-Frank Act
- Regulation Best Interest
- Private Equity
- Private Funds
- Transition Services
- Hedge Funds
- Regulatory Examinations
- Personally Identifiable Information (PII)
- Government Shutdown
- Risk Alert
- Social Media Marketing
- Exchange-Traded Funds (ETFs)
- Investment Company Act
- Rule 6c
- Broker Protocol
- Wells Fargo