Ellen Sheridan-Cona

Ellen Sheridan-Cona

Eversheds Sutherland (US) LLP

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FINRA proposes revisions to SEC-mandated heightened supervision plans for off-channel communications

On May 8, the Financial Industry Regulatory Authority (FINRA) published a blog announcing that it intends to modify the heightened supervision plans (HSPs) imposed as part of certain broker-dealers’ settlements with the US...more

5/15/2025  /  Broker-Dealer , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Proposed Amendments , Recordkeeping Requirements , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Regulation , Settlement Agreements
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