FINRA Issues Exam Priorities Letter

FINRA has released its 10th Annual Regulatory and Examinations Priorities Letter, highlighting its 2015 regulatory focus. FINRA announced they will highly scrutinize certain product offerings including interest rate sensitive fixed... [...]

FINRA’s rule requiring member firms to conduct a public records search to verify the accuracy and completeness of information on a Rep’s Form U4 has been approved and goes into... [...]

The SEC has once again brought action against a firm for failure to properly disclose existing conflicts of interest. According to the SEC’s Order, the firm entered into an ‘undisclosed’... [...]

Traditionally, the Securities and Exchange Commission (“SEC”) has only been able to impose penalties on regulated entities and individuals through the administrative process. Since passage of the Dodd-Frank Wall Street... [...]

The SEC just issued a press release announcing that they filed a record number of enforcement cases in the 2014 fiscal year that ended September 30. The SEC reported that... [...]

As my Compliance career has progressed, I’ve noticed a few recurring themes like, we sure could use more Analysts and there must be better a better way. While that may... [...]