The "tide-turning reforms" expected after Reg BI took effect have yet to fully materialize
Focus areas should serve as a useful guide for shoring up compliance weaknesses
The percentage of unpaid customer wards in FINRA arbitration cases is on the rise--increasing to nearly 30% in 2020
Fleming says recent events have exposed what may be a significant flaw in Regulation Best Interest
FinCEN has identified eight priority threat areas that B-Ds should be incorporating into their risk-based AML programs
FINRA seeks firms' P&Ps, compliance memoranda, and other internal guidance concerning SPAC-related activities
Grewal calls out need for "more than putting together a stock policy and giving a check-the-box training"
New rule allows FINRA to impose new obligations on B-Ds with significantly higher levels of risk-related disclosures
Three-month extension granted to come into compliance with rule 15c2-11 amendments
SEC to be remote through Jan. 3, sources say