Hugh Kennedy
Former SEC commissioner Paul Atkins has been tapped to lead the Commission, Gensler and Lizarraga to depart in January
New York-based broker-dealer permitted foreign individuals to conduct a securities business using its systems when they weren't registered with FINRA
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