FINRA Set to Enhance Public Records Review - IA Compliance

Beginning July 9th, FINRA will be launching an enhanced disclosure review process for public financial records of individuals seeking registration with a brokerage firm. This review will be performed with... [...]

With the rapid growth of the crypto currency industry, many questions remain. One primary concern is just how are coins/tokens being issued, distributed and sold and how are federal securities... [...]

The world of cryptocurrencies is wrought by “a persistently expanding exploitation of the crypto ecosystem by fraudsters.” So much so that the North American Securities Administrators Association (NASAA) recently announced... [...]

Cyber security, cyber security, cyber security. 10 years ago, it wasn’t even a thing. Now, it is one of the hottest topics in the financial services industry. Unfortunately, these days... [...]

Last month, the Securities & Exchange Commission (“SEC” or the “Commission”) instituted cease and desist proceedings against PNC Investments LLC (PNCI), a registered investment adviser and broker-dealer, due to violations... [...]

On May 2, 2018 the Securities and Exchange Commission announced the launch of an additional online search feature that is designed to enable investors to research whether the person trying... [...]