Latest Posts › Compliance

Share:

Implications of FINRA’s Recently Released 2022 Sanction Guidelines

FINRA’s recent overhaul of its Sanction Guidelines is the largest and most significant in two, if not three, decades. It would be quite the understatement to say that the time had come for FINRA to make a much-needed change...more

Mid-Year Check-In: CFPB Taking Aim at The Fair Credit Reporting Act

Earlier this year, we wrote that the Consumer Financial Protection Bureau (CFPB) was signaling a not-so-quiet transition to aggressive compliance activities in 2022 after an extended period of flexibility during the COVID-19...more

Observations from a Review of FINRA’s 2021 Sanction Guidelines

Key Takeaways: ..FINRA released its most recent Sanctions Guideline, effective immediately, on October 20, 2021. A link to that document can be found here. ..The key change in the 2021 Sanctions Guideline is a new...more

The SEC Declares “You All Fail”

On November 9, 2021, the SEC released a Risk Alert from the Division of Examinations which provides observations from recent examinations into advisers that offer electronic investment advice...more

SEC’s Observations from Recent Examinations into Registered Investment Company Initiatives

On October 26, 2021, the SEC released a Risk Alert from the Division of Examinations which provides observations from recent examinations of mutual funds, exchange-traded funds (“ETFs”) and investment advisers, including...more

September 1st Implementation of FINRA Rule 1017(a)(7)

Recap of FINRA Rule 1017(a)(7) - If you recall from our May 11th alert, effective September 1, 2021, FINRA Rule 1017(a)(7) will require a member firm to file a CMA when a natural person seeks to become an owner, control...more

FINRA Warns of Potential Regulatory Exposure Stemming From Overreaching Pre-dispute Arbitration Agreements

Key Takeaways: ..With pre-dispute arbitration agreements constantly under attack by PIABA and various federal legislators, FINRA recently issued Regulatory Notice 21-16 to address member firm agreements that extend too...more

Through the Issuance of New Rules Aimed at Recidivist Brokers and the Firms That Hire Them, FINRA Loudly Exclaims to its...

Key Takeaways:  ..After years of warning firms of the need for enhanced diligence in retaining or hiring brokers with a significant history of misconduct, FINRA has adopted new rules to address such brokers. ..As set...more

9 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide