A proposal from FINRA to clamp down on broker-dealers with chronic disciplinary problems has been criticized as regulatory overkill and singularly unfair to small firms. ...
Questions have swirled in the industry around the application of the federal securities laws and FINRA rules regarding the custody of digital asset securities. In ...
The SEC chose the day before the July 4th holiday to release a proposed rule, and days later it was joined by the CFTC, that ...
Early debates among Democratic Presidential candidates attest to the vigorous election season that awaits – a perfect time to ponder the reach of the SEC’s ...
You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based ...
You’re at a small firm and examiners are coming in. What are the issues they are most likely to surface, and what’s the best way ...
FINRA expects its expenses will again exceed its operating revenues this year. The SRO’s recently released 2018 annual financial report outlining financial operations for the ...
The SEC’s mum about its “upgrade” to how advisers can upload to OCIE materials requested by examiners. The new system, called Kiteworks, was due ...
Consider that you have received notice. If you’re a CPO/CTA that has been approved by the NFA to engage in swaps yet don’t, you should ...
Is FINRA’s consolidated enforcement function a good thing for the industry? Early signs suggest optimism. An impetus behind the overhaul was concern that a ...