Next year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on December 20, 2018, and cover six broad, albeit...more
12/22/2018
/ Anti-Money Laundering ,
Compliance ,
Critical Infrastructure Sectors ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Elder Issues ,
Financial Industry Regulatory Authority (FINRA) ,
Initial Coin Offering (ICOs) ,
Market Infrastructure ,
MSRB ,
OCIE ,
Publicly-Traded Companies ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
The Financial Industry Regulatory Authority (FINRA) has published frequently asked questions (FAQs) for complying with new FINRA Rule 2165 (Financial Exploitation of Specified Adults) and amendments to FINRA Rule 4512...more
2/1/2018
/ Broker-Dealer ,
Disbursement Issues ,
Disclosure Requirements ,
Elder Issues ,
Exploitation ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investor Protection ,
Investors ,
New Rules ,
Securities and Exchange Commission (SEC) ,
Temporary Hold ,
Trusted Contact Person
A proposed amendment to the Financial Industry Regulatory Authority, Inc. (FINRA) Customer Account Statement Rule (Rule 4512) and a proposed new Rule 2165 regarding Financial Exploitation of Specified Adults would: require...more