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

Learning from FINRA and SEC enforcement actions in 2021

FINRA and SEC 2021 enforcement actions: a summary. · Involving securities using decentralized finance “DeFi” technology. · Charging securities law ...

Summary of FINRA Regulatory Actions in 2021 - ACA Group

FINRA brought 126 enforcement actions and issued fines totaling almost $100M in 2021. In comparison, FINRA only issued a total of $57M in ...

Enforcement - finra

Enforcement believes in a fair and transparent process—which is why all formal disciplinary actions we take are available through a publicly accessible online ...

Trends in SEC enforcement actions - PwC Viewpoint

We also highlight expected areas of focus in the year ahead. Companies and boards may find it helpful to consider lessons learned from past and ...

Monthly Disciplinary Actions | FINRA.org

FINRA takes disciplinary actions against firms and individuals for violations of FINRA rules; federal securities laws, rules, and regulations; and the rules of ...

Highlights from the SEC Division of Enforcement FY 2021 Annual ...

In FY 2021, the Division filed 53 new actions against public companies and their subsidiaries – the lowest number of such actions in the past ...

FINRA Publishes 2021 Report on FINRA's Examination and Risk ...

As in prior years, FINRA will also adapt the areas of focus for its Examinations and Risk Monitoring programs during 2021 to address emerging ...

Regulatory Results From 2021: SEC and FINRA Gain Steam - Smarsh

The total number of FINRA enforcement actions in 2021 remained static from the prior year. However, over the same period in 2020, FINRA reported ...

PLI Broker/Dealer Regulation and Enforcement 2021 - SEC.gov

PLI Broker/Dealer Regulation and Enforcement 2021 · SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million[2] · SEC Charges Ernst & ...

2021 Report on FINRA's Examination and Risk Monitoring Program

This Report on FINRA's Risk Monitoring and Examination Activities (the Report) is designed to inform member firms' compliance programs by ...

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 ...

Monthly Disciplinary Actions - November 2021 | FINRA.org

FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, ...

SEC Announces Enforcement Results for FY 2021

The Securities and Exchange Commission today announced that it filed 434 new enforcement actions in fiscal year 2021, representing a 7 percent ...

Report on Use of 2021 Fine Monies | FINRA.org

The initiative was funded by fines paid by Robinhood Financial LLC. In 2021, FINRA solicited input from firms, investors and other stakeholders ...

SEC Could Take Further Actions to Help Achieve Its FINRA ...

Reviewing FINRA's regulatory work is critical to SEC's mission of protecting investors and maintaining fair, efficient markets. For example, SEC ...

SEC Regulation Best Interest (Reg BI) | FINRA.org

Financial Learning Experience (FLEX) · Small Firm ... The chart below highlights SEC Enforcement actions ... SEC press release 2021-139, SEC Charges 27 ...

SEC, MSRB, FINRA to Hold Compliance Outreach Program for ...

The virtual program will be held Thursday, Oct. 7, 2021, from 10 a.m. to 5 p.m. ET. Additional information and program materials, including the ...

Reports & Studies | FINRA.org

The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA's Member Supervision, Market Regulation and ...

Selected Highlights | FINRA.org

In 2021, considerable industry, and in some cases ... These topics include newer SEC Rules (e.g. ... Disciplinary Actions Online · Monthly Disciplinary ...

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 ...