Learning from FINRA and SEC enforcement actions in 2021 ...

Interpretations to the SEC's Financial and Operational Rules - finra

To assist firms in complying with SEC Rules regarding financial and operational matters, FINRA has published and will periodically update certain ...

Securities Enforcement 2024 Mid-Year Update - Gibson Dunn

In the first half of 2024, the SEC won a significant insider trading litigation and continued to recover unprecedent penalties as part of its ...

US regulators step up Reg BI enforcement sharply as individuals ...

Recent enforcement shows that FINRA and the SEC expect firms to significantly enhance sales supervision to comply with Reg BI ... Actions by the ...

2021 Was a Mixed Year For the SEC's Division of Enforcement, But ...

The SEC's enforcement actions in FY 2021 “spanned the securities markets,” and the decrease in total enforcement actions and monetary ...

News Releases & Statements | FINRA.org

Louis, Executive Vice President and Head of Enforcement at FINRA. Jul 17, 2024. SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program.

Current Developments in Sec and Finra Examinations ... - JD Supra

Similarly, the Financial Industry Regulatory Authority's (FINRA's) January 10, 2023 Report on Examination and Risk Monitoring Program identified ...

Securities Enforcement and Regulatory Resource Center

What's New · FY2024 in Review: SEC Enforcement Actions Against Investment Advisers to Private Funds, Registered Funds, and Retail Clients · Risk Alert: SEC Staff ...

Study released on FINRA's top enforcement actions of 2021

The firm Eversheds Sutherland found that fines imposed by FINRA rose 60% from 2020 from $57 million to $91 million, the highest total since 2016 ...

FINRA Publishes 2021 Enforcement Priorities and Exam Findings ...

Now, FINRA notes that it intends to “expand the scope” of Reg BI / CRS exams in 2021. As FINRA is still in the early stages of its Reg BI and ...

Disciplinary and Other FINRA Actions

December 21, 2020 – The Securities and Exchange Commission (SEC) issued a decision in which it affirmed, in part, the findings of violations and.

SEC and FINRA Actions Emphasize Continued Focus on Broker ...

The parallel enforcement actions highlight the continued focus of the SEC and FINRA on broker-dealers' compliance with their Bank Secrecy Act (BSA) and anti- ...

Takeaways from the SEC Division of Enforcement's FY 2021 Report ...

Two factors likely impacted the overall trends which led to a reduction in the number of enforcement actions. First, the Commission, like many ...

Final - Warren Letter to FINRA on Decreasing Enforcement Actions

pdf. 11 Letter from Sen. Elizabeth Warren to Mr. Robert Cook, FINRA CEO, February 16, 2021, https ...

Statement of Robert W. Cook - Congress.gov

See TradeStation Securities, Inc., Letter of Acceptance, Waiver and Consent (FINRA Case No. 2014041812501) (March 2021) (also finding violations ...

Brian L. Rubin | Partner, Co-Head of Securities Enforcement Practice

Reps' Breaking Bad: SEC and FINRA Enforcement Actions ... Annual Analysis of FINRA Disciplinary Actions Shows Surge in Enforcement Activity, April 22, 2021, ...

Securities and Exchange Commission (SEC) Defined, How It Works

The decision requires the SEC to pursue such penalties in federal court, potentially affecting the rapidity and scope of its enforcement actions ...

Securities Litigation & SEC Enforcement - Cozen O'Connor

Litigation and arbitration in the securities and financial services industry is continually evolving, and securities enforcement priorities are constantly ...

Broker-Dealer Disciplinary Actions: Takeaways From 2024 (So Far)

The U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Exchanges were active across a ...

SEC Division of Enforcement: Examinations and Actions

In a Press Release and Addendum issued by the SEC on November 18, 2021, enforcement results for fiscal year 2021 were announced. The Press Release provides a ...

Securities Investigations and Enforcement Newsletter — October 2024

... lessons to be learned from recent examinations and/or enforcement actions, including: ... SEC, has served as deputy director since August 2021.