What Companies Can Learn from FINRA's Significant Enforcement ...

Finra fines, restitution and enforcement actions all declined last year ...

Finra imposed fewer fines, collected less restitution for harmed investors and conducted fewer enforcement actions last year than it did in 2021.

FINRA continues scrutiny of financial industry for improper electronic ...

Firms and advisors can reduce their risk of compliance violations by paying attention to regulatory guidance regarding social media and digital communications.

Annie Kong on LinkedIn: FINRA to firm: Get out!

What Companies Can Learn From FINRA's Significant Enforcement Areas in First Half 2024 (via The National Law Review): https://ow.ly/7KVk50T6rYQ #finra ...

SEC Rule 17a-3 & FINRA Records Retention Requirements Explained

While meeting the stipulations of SEC & FINRA recordkeeping rules might seem like a daunting task, the cost of non-compliance can be significantly more ...

FINRA Compliance Consulting Services - EPC Group

One of the major goals of FINRA regulations is to ensure no consumer or investor has to suffer from fraud, discrimination, manipulation, and theft. FINRA ...

The regulators | Rules & ethics | Achievable Series 7

There are many regulators that play a role in enforcing financial rules and regulations. You initially learned about them for the SIE exam, plus we've ...

FINRA fines Merrill Lynch $825K over order execution supervision ...

The firm failed to establish and maintain written supervisory procedures reasonably designed to achieve compliance with its best execution ...

FINRA Guidance Indicates Need To Strengthen Trade Surveillance ...

Member firms are encouraged to strengthen their compliance and reporting frameworks to combat increased threats from fraud, cybercrime, and ...

FINRA Arbitration and Enforcement in 2019 and Beyond: Hot ...

With new issues emerging, it is important for companies and their counsel to be aware of key trends and developments in this area of law to ...

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 ...

Regulatory Update: What Financial Institutions Must Prioritize ...

This case reinforces that proactive self-reporting and remediation can provide a degree of reprieve from harsh enforcement actions, offering a ...

Navigating FINRA Exams: Guide to All 32 FINRA Licenses - InnReg

... companies since 2013. If you need assistance with ... can perform their duties in compliance with industry standards and regulations.

New FINRA Guidance Reflects Focus on Off-Channel ...

How firms communicate to associated persons, and monitor and surveil for compliance with and prohibition against using unapproved off-channel ...

What is FINRA Compliance? | Box, Inc.

FINRA can discipline you by ordering a litigated proceeding or settlement. If you go against the regulations or rules of FINRA, your violation ...

What Is FINRA And What Does It Do? - Bankrate

FINRA registered brokers must complete annual educational requirements. They can face disciplinary action if they are not in compliance with ...

Are Broker-Dealers Acting in the Best Interests of Their Customers ...

FINRA's 2022 Examination and Risk Monitoring Report offers insights for broker-dealers on how to improve compliance with Reg BI.

FINRA vs. SEC: How Do They Differ? - SmartAsset

The SEC's regulatory scope extends well beyond that of FINRA, overseeing public companies, investment companies, investment advisors, brokers- ...

FINRA Files Complaint Against Firm CEO/CCO for Causing ...

FINRA recently filed a Complaint against a Chief Executive Officer and Chief Compliance Officer of a registered broker-dealer alleging, ...

FINRA vs the SEC - SoFi

The SEC will also enforce federal securities laws to keep lawbreakers accountable in the name of protecting investors. In order to maintain fair and efficient ...

Supreme Court Securities Fraud Ruling Further Limits SEC's ...

[2] Several respondents to FINRA enforcement actions have argued in recent years that FINRA, in enforcing the federal securities laws, acts as a ...