Trust – How would you handle a net capital issue?

Trust, an essential element in the relationship between financial Representatives , the public and the regulators is delicate and must be nurtured over time . . . and it can... [...]

Summer temperatures in Texas are heating up almost as fast as the Financial Industry Regulatory Authority’s (FINRA’s) monthly “Disciplinary and Other FINRA Actions” publication. Reported recently by ThinkAdvisor.com citing an... [...]

Several states have now joined the SEC and FINRA’s initiative to assess cybersecurity preparedness and have sent out questionnaires or will be shortly. These questionnaires contain questions ranging from the... [...]

The Security and Exchange Commission (SEC) recently issued an update regarding “Guidance on the Testimonial Rule and Social Media”. This Guidance discusses how financial advisers may use testimonials on social... [...]

In May 2014 the SEC Deputy Director announced the SEC’s Presence Exam Initiative is nearly complete. The Presence Exam Initiative is being implemented in order to strengthen transparent regulation of... [...]

With all the high profile data breaches lately (Target, Chase, Michael’s Stores, American Express etc.), it was inevitable that FINRA and the SEC, along with the State regulators, would not... [...]