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. This month,...more
11/22/2024
/ Compliance ,
Cryptocurrency ,
Cybersecurity ,
Data Privacy ,
Data Security ,
Digital Assets ,
Due Diligence ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Metaverse ,
Real Estate Investments ,
Regulatory Requirements ,
Risk Assessment ,
Third-Party Service Provider
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
9/29/2023
/ Amicus Briefs ,
Arbitration ,
Artificial Intelligence ,
Compliance ,
Dispute Resolution ,
Enforcement Actions ,
Expungement ,
Financial Industry Regulatory Authority (FINRA) ,
Proprietary Trading ,
Regulation BI ,
Securities and Exchange Commission (SEC)