Regulation BI and Real-World Enforcement
When the Financial Industry Regulatory Authority (“FINRA”) initially proposed the [...]
7
12, 2023
15
12, 2022
FINRA OFAC Search Tool Retiring
Financial Industry Regulatory Authority (“FINRA”) provides an OFAC search tool [...]
5
12, 2022
Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties
On September 22, 2022, the Securities and Exchange Commission announced [...]
20
09, 2022
Regulatory Notice 22-12 TRACE Amendments
FINRA Adopts Amendments to TRACE Reporting Rule to Require Identification [...]
1
09, 2022
PTE and IRA Rollover Recommendation Considerations
U.S. Department of Labor’s ("DOL") recently published final prohibited transaction [...]
26
08, 2022
Regulatory Notice 22-18: Forgery and Falsification
Regulatory Notice 22-18 reminds firms of their rule obligation related [...]
19
08, 2022
Private Placement Best Practices from FINRA Disciplinary Actions
FINRA (Financial Industry Regulatory Authority) publishes a monthly review of [...]
5
08, 2022
Options Disclosure Document Update
This is a reminder for broker-dealers who provide options services [...]
29
07, 2022
What’s ‘New’ about the SEC’s New Marketing Rule for Investment Advisers?
Marketing and advertising in the mid-20th Century was very different [...]
15
07, 2022
FINRA Unscripted Podcast: Regulation Best Interest and Form CRS Two Years In
FINRA recently released a podcast Regulation Best Interest and Form [...]