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SAR Financial Industry Regulatory Authority (FINRA) NASD

UB Greensfelder LLP

FINRA Got It Right When It Comes To BCPs . . . But Not So Much On SARs

UB Greensfelder LLP on

FINRA is often accused (mostly rightfully, and certainly by me) of being a horse-is-already-out-of-the-barn sort of regulator, jumping on an issue only after the problem has already arisen and made it to the front page of the...more

UB Greensfelder LLP

FINRA AML Settlements Drive Home The Point: When It Comes To Supervision, Actions Speak Louder Than Words

UB Greensfelder LLP on

The longer I do this, the more apparent it becomes just how little anything changes. Sure, some things do change, a little. Rule numbers may get updated, as Rule 2310 becomes Rule 2111. Things that once may have been done...more

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