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Risk Management › Investors › Financial Industry Regulatory Authority (FINRA)

Eversheds Sutherland (US) LLP

FINRA signals heightened focus on senior investor protection

Eversheds Sutherland (US) LLP on

On July 15, FINRA’s Investor page featured an article titled “Protecting Older Investors From Financial Exploitation,” signaling a renewed and strengthened focus on safeguarding senior investors—an issue FINRA has long...more

Faegre Drinker Biddle & Reath LLP

New Year’s Priorities: FINRA Releases its 2023 Report on its Examination and Risk Monitoring Program

Faegre Drinker Biddle & Reath LLP on

Yes, (somehow) it is that time of year again. FINRA recently released its 2023 Report on its Examination and Risk Monitoring Program (the “Report”). As is typical (and this blog has well-covered), it contains a mix of old and...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for March 2022

Morrison & Foerster LLP on

As a fitting cap to a busy month, on March 30, the SEC Division of Examinations announced its 2022 Examination Priorities. These priorities are consistent with the recent activities of the SEC more generally, as exemplified...more

Kilpatrick

Investment Management Regulation: Year in Review

Kilpatrick on

As we prepare for a new year of regulatory initiates and actions, we believe it is important to take inventory of the most significant regulatory events from the past year. True to its word, the SEC focused on reducing...more

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