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FINRA Issues Annual Regulatory and Examination Priorities Letter for 2015

One January 6, the Financial Industry Regulatory Authority issued its annual letter to FINRA member firms outlining FINRA’s regulatory and examination priorities for the coming year....more

1/13/2015 - Anti-Money Laundering Broker-Dealer Cybersecurity Examination Procedures FINRA Private Placements Regulatory Standards

SEC Extends No-Action Letter Permitting Broker-Dealers to Rely on Certain Investment Advisers to Conduct Customer Identification...

The Securities and Exchange Commission has extended a no-action letter dated February 12, 2004 (the 2004 Letter) from the Securities Industry Financial Markets Association (SIFMA) that permits broker-dealers, subject to...more

1/22/2013 - Anti-Money Laundering Broker-Dealer FinCEN Investment Adviser No-Action Letters SEC SIFMA

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