Hugh Kennedy
ACP Securities didn't disclose employee's disciplinary history, FINRA claims
A FINRA examination of Morgan Stanley’s compliance with the market access rule has triggered an enforcement action tied to the firm’s failure to conduct reasonable ...
Broker-dealers typically have trade surveillance and asset movement surveillance functions within their compliance structure
FINRA investigative director offers tips to address new account, ACATS, and ACH frauds
SEC examiners are looking at compliance with newly effective rules, use of technology, cybersecurity, crypto assets and artificial intelligence
FINRA and CISA extended a warning to all firms using Fortinet's FortiManager
FINRA found the firm's compliance department was understaffed and did not have adequate training or guidance to handle rule 8210 requests on time
Broker-dealer failed to establish, maintain and enforce a supervisory system, including written procedures, reasonably designed to supervise outside accounts
FINRA lists 20 questions that it seeks responses to concerning day trading account approval and risk disclosure requirements
Phishing campaigns employing the tactic of impersonating FINRA execs and ongoing threats from Iranian cyber actors are the subjects of new alerts