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Annual Reports Regulatory Violations

Carlton Fields

FINRA Issues 2025 Annual Regulatory Oversight Report

Carlton Fields on

On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more

Morgan Lewis - Up & Atom

NRC Office of Enforcement Issues Calendar Year 2020 Report; New Director Named

The NRC Office of Enforcement (OE) recently published its Enforcement Program Annual Report for calendar year 2020. The report shows that the number of escalated enforcement actions increased 7% over 2019, but remained below...more

Morgan Lewis - Up & Atom

NRC Office of Investigations Issues FY 2020 Annual Report

The NRC’s Office of Investigations (OI) recently published its Annual Report FY 2020, summarizing its activities during the last fiscal year. The annual report shows that OI opened 13% more cases in 2020 than in 2019,...more

Polsinelli

Third Party Administrator Licensing and Compliance Services: Recent Regulatory Actions Against TPAs

Polsinelli on

NEW JERSEY - The New Jersey Department of Banking and Insurance (“New Jersey Department”) recently took regulatory action against a TPA for untimely filing its annual report with the New Jersey Department....more

Bradley Arant Boult Cummings LLP

What Was The EEOC Up To This Year? Takeaways From 2017

The U.S. Equal Employment Opportunity Commission’s fiscal year ended on Sept. 30, 2017 and it has released its yearly "Performance and Accountability Report." Although this is a look back, it provides insight on what is...more

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