Payment for Order Flow (PFOF) and Gamification: Your Questions Answered
Summer Enforcement Action Review; Raising Money in a Pandemic - Investment Management Roundtable Discussion
Investment Management and Private Funds Roundtable – June 2020
Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives
Videocast: Asset management regulation in 2020 videocast series – Fiduciary investment advice: The patchwork emerges
Videocast: Asset management regulation in 2020 videocast series – SEC enforcement
Videocast: Asset management regulation in 2020 videocast series – Complying with new SEC rules for broker-dealers
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
Regulation Best Interest Videocast Series: Establishing An Investment Platform Post-Regulation BI
Investment Management Update - Focus on Data Privacy and Cybersecurity
Financial Industry Regulatory Authority (FINRA) investigations present significant risks for broker-dealers. Not only can FINRA take enforcement action—including the imposition of penalties and barring broker-dealers from the...more
When registered brokers, their associates, or other financial advisors receive a FINRA 8210 letter, how they respond can make a big difference in the potential outcome. Ignoring the request for documents, pursuant to FINRA...more
On April 7, 2020, the Securities and Exchange Commission’s (the “SEC” or the “Staff”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert1 to provide broker-dealers and their associated persons...more
If you think FINRA examiners are going too far with their document requests under the cover of Rule 8210, you should "escalate" your concerns up the regulator's chain of command, a FINRA official said at the organization's...more
If you are a broker-dealer or a registered representative at one, you sign on for some meddling by FINRA. The self-regulatory organization is responsible for overseeing your securities business and even for your outside...more