The controller has been passed to a new team of players in Washington. New players prefer to hit the reset button and start a new game, not pick up where the prior player left off. We know how our new players like to play the...more
Join Ulmer partners Alan M. Wolper and Michael A. Gross as they address hot topics, including recent rule changes, exam priorities, and other FINRA developments....more
1/25/2021
/ Banking Sector ,
Broker-Dealer ,
Chief Compliance Officers ,
Continuing Legal Education ,
Corporate Counsel ,
Examination Priorities ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Services Industry ,
Fund Managers ,
Investment Banks ,
Investment Companies ,
Retail Banks ,
Risk Management ,
Webinars
Michael Gross and Alan Wolper will discuss outside business activities, the 2019 report of exam findings and observations, and internal changes at FINRA.
...more
Does FINRA have jurisdiction over me? This is a question that I regularly field at the outset of regulatory engagements. My answer differs depending on a number of factors, including the nature of a person’s role and duties...more
It is not a wise career move for a registered rep to leave his broker-dealer – thereby abandoning his customers, and affording competitors the opportunity to make his customers their own – and then to begin the long,...more