The U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Exchanges were active across a host of regulatory issues impacting fintech companies and broker-dealers during...more
10/2/2024
/ Analytics ,
Anti-Money Laundering ,
Books & Records ,
Broker-Dealer ,
Civil Monetary Penalty ,
Compliance ,
Customer Identification Program (CIP) ,
Cyber Incident Reporting ,
Disciplinary Proceedings ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
FinTech ,
Influencers ,
Investment Advisers Act of 1940 ,
MSRB ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
FINRA's new enforcement head, Bill St. Louis, recently appeared on FINRA Unscripted, a FINRA podcast where he discussed his vision for FINRA's Enforcement Department as well as certain key regulatory issues that are under...more
FINRA recently published its 90-page 2024 Annual Regulatory Oversight Report (Report) providing member firms with insight into six primary topics: Financial Crimes, Crypto Asset Development, Firm Operations, Communications...more
1/17/2024
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Books & Records ,
Consolidated Audit Trail ,
Crowdfunding ,
Cryptoassets ,
Cybersecurity ,
Disclosure Requirements ,
Economic Sanctions ,
Financial Crimes ,
Financial Industry Regulatory Authority (FINRA) ,
Form CRS ,
Fraud ,
Liquidity ,
MSRB ,
Net Capital Rule ,
Policies and Procedures ,
Regulation BI ,
Regulatory Oversight ,
Reporting Requirements ,
Risk Management ,
Variable Annuities