All FINRA articles – Page 3

  • Article

    SEC, FINRA Dropping Hints on Risk


    Compliance officers looking to read some tea leaves about what worries the Securities and Exchange Commission these days might want to skim the 2015 exam priorities that the SEC and FINRA have posted. That guidance applies foremost to financial firms, but “it’s only a matter of time before they require ...

  • Blog post

    SEC Announces 2015 Examination Priorities


    The SEC has released its examination priorities for 2015. The list includes cyber-security controls and assessing anti-money laundering efforts, with a focus on firms that have not filed suspicious activity reports or have incomplete or late filings. SEC staff will also examine proxy advisory service firms, assessing how they make ...

  • Blog post

    FINRA Fines Citigroup $15 Million for Supervisory Failures


    The Financial Industry Regulatory Authority fined Citigroup Global Markets $15 million last week for failing to adequately supervise communications between its equity research analysts and its clients and Citigroup sales and trading staff. In settling this matter, Citigroup neither admitted nor denied the charges, but consented to the entry of ...

  • Blog post

    SEC Approves Rule Requiring Technology Safeguards


    Image: Nov. 19—Despite concerns that it may be too limited in its current form, the SEC unanimously approved Regulation SCI, new rules intended to strengthen the technology infrastructure of securities markets, improve their resilience, and enhance the Commission’s ability to oversee them. The rule includes attestation requirements for chief executive ...