Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. We dedicate...more
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. We dedicate...more
1/26/2024
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Books & Records ,
Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Consolidated Audit Trail ,
Cryptoassets ,
Cybersecurity ,
Digital Assets ,
Financial Industry Regulatory Authority (FINRA) ,
Over The Counter Drugs (OTC) ,
Regulation BI ,
Securities and Exchange Commission (SEC)
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
11/1/2023
/ Arbitration ,
Broker-Dealer ,
Constitutional Challenges ,
Dispute Resolution ,
Enforcement Actions ,
Expungement ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Proposed Rules ,
Securities and Exchange Commission (SEC) ,
WhatsApp
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more
7/28/2023
/ Administrative Law Judge (ALJ) ,
Appeals ,
Broker-Dealer ,
Dispute Resolution ,
Emoji ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
Investment ,
Lucia v SEC ,
New Regulations ,
Regulation BI ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more
11/1/2022
/ Anti-Money Laundering ,
Arbitration ,
Borrowers ,
Broker-Dealer ,
Dispute Resolution ,
Disqualification ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Registered Investment Advisors ,
Regulation Best Interest ,
REIT ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Unregistered Securities
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more
10/3/2022
/ Analytics ,
Anti-Money Laundering ,
Arbitration ,
Authentication ,
Broker-Dealer ,
Churning ,
Cybersecurity ,
Digital Signature Standards ,
Expungement ,
Failure to Report ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Financial Institutions (FFI) ,
Fraud ,
Investigations ,
Ponzi Scheme ,
Popular ,
Proposed Rules ,
Securities Transactions ,
Transfers
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. FINRA’s...more
As we reported in a previous alert, the SEC and FINRA recently confirmed that Regulation Best Interest (“Regulation BI”) will go into effect on the scheduled compliance date of June 30, 2020, despite the impact of the...more
In just a short period of time, the COVID-19 pandemic has triggered a revolution in how we live our lives and do our jobs. These changes have extended to the regulation of the financial industry. While FINRA emphasizes that...more
3/25/2020
/ Broker-Dealer ,
Business Continuity Plans ,
Coronavirus/COVID-19 ,
Cybersecurity ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Late Fees ,
Regulatory Requirements ,
Remote Working ,
Reporting Requirements ,
Signatures