Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more
10/3/2022
/ Analytics ,
Anti-Money Laundering ,
Arbitration ,
Authentication ,
Broker-Dealer ,
Churning ,
Cybersecurity ,
Digital Signature Standards ,
Expungement ,
Failure to Report ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Financial Institutions (FFI) ,
Fraud ,
Investigations ,
Ponzi Scheme ,
Popular ,
Proposed Rules ,
Securities Transactions ,
Transfers
A series of recent announcements by the SEC underscores the agency’s commitment—and allocation of resources—to its heightened focus on environmental, social and governance (“ESG”) issues. Significantly, on March 4, 2021, the...more