Despite a slowdown in the fines reported in 2015, the Financial Industry Regulatory Authority (FINRA) has continued to flex its enforcement muscle so far this year. During the first half of 2015, FINRA reported $37.5 million...more
9/21/2015
/ Advertising ,
Anti-Money Laundering ,
Associated Persons ,
Broker-Dealer ,
Corporate Fines ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Material Disclosures ,
Reporting Requirements ,
Restitution ,
Stock Trades
On June 3, 2014, the Securities and Exchange Commission (SEC or Commission) issued a whistleblower award to two individuals who had provided information leading to a successful SEC enforcement action. The whistleblower...more
Few topics are as hot as cybersecurity. Recent high-profile data breaches at national retailers have made cybersecurity a frequent topic on Capitol Hill and an issue of growing concern to average Americans. Not surprisingly,...more
4/23/2014
/ Broker-Dealer ,
Cybersecurity ,
Data Breach ,
Data Security Act ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Governance Standards ,
Investment Adviser ,
Regulation S-P ,
Securities and Exchange Commission (SEC) ,
U.S. Treasury