On multiple fronts, the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) continue to increase their focus on cybersecurity. This is understandable as headlines of recent...more
The countdown to June 30, 2020 is on – the deadline by which broker-dealers with retail customers must comply with Regulation Best Interest (Reg BI), and broker-dealers and investment advisers must comply with Customer...more
Each year, both the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issue guidance concerning their regulatory priorities for the coming year. ...more
Each year, both the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issue guidance concerning their regulatory priorities for the coming year. This year, FINRA...more
Each year, both the United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) issue guidance concerning their regulatory priorities for the coming year. This year, FINRA...more
On October 24, 2016, the United States Securities and Exchange Commission (SEC)'s Office of Compliance Inspections and Examinations (OCIE) released an alert examining whistleblower rule compliance and the use of...more
On December 16, 2015, the Financial Industry Regulatory Authority (FINRA) proposed Rule 2273 requiring brokers who move to a new firm to send an "educational communication" to customers they want to take with them, informing...more
Each year, both the Financial Industry Regulatory Authority (FINRA) and the United States Securities and Exchange Commission (SEC) issue guidance concerning their regulatory priorities for the coming year. This year, FINRA...more
3/2/2016
/ BSA/AML ,
Conflicts of Interest ,
Corporate Counsel ,
Cybersecurity ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
Liquidity ,
Policies and Procedures ,
Popular ,
Private Placements ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
Over the past several months, confidentiality provisions included in settlement agreements, employment or independent contractor contracts, or in other documents, have come under increased scrutiny in the financial industry....more
7/10/2015
/ Broker-Dealer ,
Confidentiality Agreements ,
Department of Justice (DOJ) ,
Dodd-Frank ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Independent Contractors ,
KBR (formerly Kellogg Brown & Root) ,
Securities and Exchange Commission (SEC) ,
Settlement Agreements ,
Whistleblowers
On January 2, 2014, the Financial Industry Regulatory Authority (FINRA) issued its 2014 Annual Regulatory and Examination Priorities Letter (Priorities Letter). This letter is issued annually to highlight new and existing...more