On April 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued two Risk Alerts: one focused on examinations of compliance with Regulation Best Interest [1] (“Regulation BI ...
The regulatory landscape is constantly evolving; however, the pace and complexity of change have ramped up in recent years. To highlight this, we’ll share updates on developments in topics explored in ...
WASHINGTON--(BUSINESS WIRE)--FINRA published today a new report, The Metaverse and the Implications for the Securities Industry. The report is intended to raise awareness among FINRA member firms and ...
July 22 (Reuters) - The U.S. Financial Industry Regulatory Authority (FINRA) is investigating Morgan Stanley (MS.N), opens new tab over how the firm screened clients for money-laundering risks, the ...
Adam Hayes, Ph.D., CFA, is a financial writer with 15+ years Wall Street experience as a derivatives trader. Besides his extensive derivative trading expertise, Adam is an expert in economics and ...
A federal appellate court has blocked brokerage industry self-regulator Finra from expelling a previously sanctioned broker without a review of the case by the Securities and Exchange Commission.
Professor Nicole Iannarone, an expert on regulation of financial intermediaries, consumer expererience in resolving securities disputes, professional ethics, and law and technology, has joined the ...
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