- FINRA Reports 56% Decrease in 2022 Disciplinary Actions🔍
- 2021 Report on FINRA's Examination and Risk Monitoring Program🔍
- SEC Enforcement🔍
- Key Focus Areas From 2021 SEC and FINRA Priorities Reports🔍
- FINRA's Important Reminder to Firms—Don't Forget to Supervise ...🔍
- SEC & Regulatory Enforcement🔍
- Focus areas for FINRA and SEC financial regulations in 2021🔍
- “Reasonable” Does Not Mean Perfect🔍
Learning from FINRA and SEC enforcement actions in 2021 ...
FINRA Reports 56% Decrease in 2022 Disciplinary Actions - Quest CE
Fines Drop By…Well, A Lot. ... FINRA reported a significant drop in fees in 2022, decreasing from $103 million in 2021 to $45 million. The 2021 ...
2021 Report on FINRA's Examination and Risk Monitoring Program
In addition to firms' compliance with SEC regulations, FINRA ... certain written customer complaints and certain disciplinary actions taken by the firm.
SEC Enforcement: Balancing Deterrence with Due Process. Hearing ...
There are a variety of automatic disqualifications that may arise from enforcement actions brought by the SEC, other federal financial or ...
Key Focus Areas From 2021 SEC and FINRA Priorities Reports
In this article, we have covered several key priorities as well as fines that two of the nation's most prominent securities regulators levied on ...
FINRA's Important Reminder to Firms—Don't Forget to Supervise ...
As FINRA notes at the outset, firms have taken on additional risks in these areas as they continue to expand their use of technology and outside ...
SEC & Regulatory Enforcement - Latham & Watkins LLP
... financial regulators to guide clients through inquiries and investigations, and skillfully defend against enforcement actions and prosecutions. Our team ...
Focus areas for FINRA and SEC financial regulations in 2021 | blog
... FINRA enforcement; Marianna Shafir, Regulatory ... Artificial intelligence and machine learning: Machine learning ... Innovation Exchange Keynote: Regulatory ...
“Reasonable” Does Not Mean Perfect: Recent FINRA Regulatory ...
39 The comment period ended on October 13, 2021. As of the date of this outline, the SEC had not taken action to approve or disapprove FINRA's ...
Request for Information and Comments on Broker-Dealer and ...
31, 2021)] (“Treasury RFI”); FINRA, Artificial Intelligence (AI) ... ” See FINRA Regulatory Notice 11-02 (SEC Approves Consolidated FINRA ...
Securities Regulation & Enforcement - Research Guides at Harvard ...
... 2021; also available in the Study Guide Collection). This Nutshell ... SEC enforcement actions. Lexis Intelligize: Laws, Regulations, and ...
SEC Continues Use of Data Analytics to Aid Enforcement ...
FINRA surveils both the equities and options markets for suspicious activity. Because FINRA cannot prosecute insider trading, however, it refers ...
Compliance & Enforcement: The Dual Threat of Identity Theft Red ...
Despite coming up constantly in FINRA and SEC regulation, the need to have policies tailored to the operational realities of your organization ...
Securities Enforcement Quarterly October 2021
[33] A trio of enforcement actions in August against investment advisory firms and broker-dealers shows how seriously the SEC takes ...
FINRA Response - Elizabeth Warren
business activities”); SEC Office of Compliance Inspections and Examinations (OCIE). Page 15. The Honorable Elizabeth Warren. February 23, 2021.
SEC Division of Enforcement: What It Is, How It Works - Investopedia
The Division of Enforcement of the Securities and Exchange Commission (SEC) investigates possible securities law violations.
enforcement actions from FY 2021. — which ... In addition to settled enforcement actions, the SEC's ... enforcement action involving securities law violations.
Securities Litigation Blog | Burr & Forman LLP
... SEC, SEC Acting Chair Lee. 03.11.2021 | By Thomas K. Potter, III · FINRA Warns on Compliance Phishing. On March 4, FINRA issued a Regulatory Notice warning ...
Securities Investigations + Enforcement - Troutman Pepper
Clients trust us to provide skilled representation against allegations of wrongdoing brought by the SEC, FINRA, CFTC, Public Company Accounting Oversight Board ...
The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA's Member Supervision, Market Regulation and ...
SEC Examination Lessons Learned During the Biden/Gensler Era ...
The stakes are high, as there have been signi cant enforcement actions against fund managers, including some stemming from examination ndings ...