All FINRA articles – Page 4
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ArticleUpcoming regulatory events: SEC, DOJ, FASB, and more
Fall is a busy time for regulators across the compliance landscape. Take note of upcoming events, plus some early conference registration news.
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ArticleRegulatory events coming this fall
Check out information on upcoming events from such regulators as the PCAOB, FDIC, SEC, DOJ, and more.
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ArticleFINRA issues clarifying guidance on ‘extraordinary cooperation’ credit
The Financial Industry Regulatory Authority has issued supplemental guidance clarifying how companies and individuals that demonstrate “extraordinary cooperation” in investigations can receive enforcement credit.
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ArticleRegulatory events: What’s hot this summer!
Here’s a look at some upcoming events and training from regulators like the SEC, DOJ, and PCAOB.
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ArticleFINRA fines Cantor Fitzgerald $2M for Reg SHO violations, supervisory failures
The Financial Industry Regulatory Authority fined Cantor Fitzgerald $2 million for Regulation SHO violations and supervisory failures spanning a period of at least five years.
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Blog
Senators fret FINRA interpretation of SEC’s ‘Best Interest’ proposal
Democratic senators want FINRA to detail its interpretation of the SEC's proposed standards of conduct rule. FINRA will play a large role in implementing and enforcing the forthcoming rule package.
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Blog
FINRA wants firms to detail dabbling in virtual currencies
FINRA wants the brokerage firms and exchanges it oversees to alert it if they engage in activities related to digital assets and cryptocurrencies.
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Blog
Chief compliance officer, two broker-dealers charged with AML offenses
The Securities and Exchange Commission on May 16 announced that it settled charges against broker-dealers Chardan Capital Markets and Industrial and Commercial Bank of China Financial Services for failing to report suspicious sales of billions of penny stock shares. Chardan’s chief compliance officer was also charged.
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Blog
Former FINRA Associate General Counsel Brant Brown joins Willkie
Brant Brown, former associate general counsel at the Financial Industry Regulatory Authority, has joined the international law firm Willkie Farr & Gallagher as counsel in the Washington office.
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Blog
FINRA sanctions Citigroup Global Markets $11.5M for inaccurate research ratings
The Financial Industry Regulatory Authority has fined Citigroup Global Markets $5.5 million and required the firm to pay at least $6 million in compensation to retail customers for displaying inaccurate research ratings for numerous equity securities during a nearly five-year period, and for related supervisory violations.
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Blog
FINRA fines Raymond James $2M for flawed e-mail monitoring system
The Financial Industry Regulatory Authority has fined Raymond James Financial Services $2 million for failing to maintain reasonably designed supervisory systems and procedures for reviewing e-mail communications, serving as a warning to compliance officers to review FINRA's guidance concerning the review and supervision of electronic communications.
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Blog
FINRA fines J.P. Morgan $1.25M for failing to screen thousands of employees
The Financial Industry Regulatory Authority fined J.P. Morgan Securities $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600—or 95 percent—of its non-registered employees, in violation of federal securities laws.
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Blog
FINRA seeks feedback on capital formation rules
The Financial Industry Regulatory Authority has opened a public comment period on existing rules connected to capital formation. The effort is part of an ongoing self-assessment by the agency.
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Article
New leadership, new priorities for FINRA
A new year has meant some big changes for the Financial Industry Regulatory Authority, including several recent appointments, some new initiatives, and an update to the agency’s enforcement priorities.
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Blog
Some key cyber-security tips for financial firms
As the SEC and FINRA are taking cyber-security much more seriously, John Reed Stark outlines a few ways in which financial firms can also do more to protect their data.
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Blog
FINRA digs deeper into blockchain challenges
A new FINRA report looks at how blockchain technologies will be used throughout the securities industry and is seeking feedback from the marketplace. Joe Mont reports.
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Blog
FINRA details 2017 examination priorities
The Financial Industry Regulatory Authority has released its annual “Regulatory and Examination Priorities Letter,” an overview of areas it plans to focus on in 2017 exams. More from Joe Mont.
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Blog
FINRA fines Deutsche Bank $6 million for submitting inaccurate trade data
The Financial Industry Regulatory Authority fined Deutsche Bank Securities $6 million for failing to provide complete, accurate trade data in an automated format in a timely manner when requested by FINRA and the U.S. Securities and Exchange Commission. Jaclyn Jaeger reports.
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Blog
FINRA announces CEO transition
The Financial Industry Regulatory Authority’s Board of Governors has concluded its CEO search, and appointed Robert Cook as president and chief executive officer, effective the second half of 2016. Cook will succeed Richard Ketchum, who has served as chairman and CEO since 2009. Joe Mont has more on the transition.
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Blog
Proofpoint releases Proofpoint Intelligent Supervision
Proofpoint, a next-generation cyber-security and compliance company, announced the release of Proofpoint Intelligent Supervision, designed to significantly accelerate FINRA, SEC, and IIROC compliance review and reduce audit time.