Safeguard your Business: Dinsmore's Craig Horbus on Combatting the Rising Threat of ACH Fraud
The Financial Industry Regulatory Authority, Inc. (“FINRA”) published its 2025 FINRA Annual Regulatory Oversight Report (the “Report”), which builds on the structure and content of FINRA’s prior reports for 2021-2024. This...more
Recently, FINRA accepted a letter of acceptance, waiver and consent from a brokerage firm to settle alleged rule violations. The settlement concerns a series of unauthorized Automated Clearing House (ACH) transfers from a...more
In This Issue. The U.S. Securities and Exchange Commission (SEC) adopted amendments to modernize filing fee disclosure and payment methods; the Financial Industry Regulatory Authority (FINRA) announced an examination of...more