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
Key Takeaways:
..According to FINRA, the number of reported instances involving broker-dealer fraudulent account takeovers (ATO) and related theft is on the rise.
..As set forth in recently released FINRA Regulatory...more
5/27/2021
/ Authentication ,
Best Practices ,
Broker-Dealer ,
Compliance ,
Data Protection ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Identity Theft ,
Mobile Banking ,
Online Banking ,
Personal Information ,
Popular ,
Regulatory Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Sensitive Personal Information
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
5/19/2021
/ Applications ,
Broker-Dealer ,
Brokers ,
Compliance ,
Criminal Records ,
Financial Industry Regulatory Authority (FINRA) ,
New Regulations ,
New Rules ,
Regulatory Oversight ,
Regulatory Requirements ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)