Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Category: Industry News

The Message from the SEC’s Reg BI Risk Alert: “Come on, be reasonable."

Overview At the end of January, the SEC’s Division of Examinations published a Risk Alert […]

Read More
Considerations for FINRA Membership involving Digital Asset Securities

In November 2022, FINRA published a podcast that discussed available guidance concerning several paths through […]

Read More
SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures

On September 27, 2022, the SEC announced charges against 15 broker-dealers and one investment adviser […]

Read More
News Update: SEC Approves FINRA Rules Change

In an order[1] dated July 30, 2021, the SEC approved the adoption of new FINRA […]

Read More
News Update: Biden Takes Step to Regulate Cryptocurrencies

March 2022 Overview & Summary President Biden signed an executive order on Wednesday, March 9 […]

Read More
SEC Offers Guidance on Form CRS

Overview As firms prepare their annual ADV updates or review their compliance programs, one area […]

Read More
News Reminder: SEC Approves FINRA Rules Change

Overview In an order[1] dated July 30, 2021, the SEC approved the adoption of new FINRA […]

Read More
News Update: JP Morgan to pay $200M for Electronic Recordkeeping Lapses

December 2021 Overview & Summary JP Morgan has agreed to pay the SEC and CFTC […]

Read More
News Update: FINRA to Sweep BDs on Use of Social Media Influencers to Refer Clients

September 2021 Overview & Summary FINRA announced that it is conducting a review of firm […]

Read More
Breaking News Update SR-FINRA-2020-041 Approval

News Update: SEC Approves FINRA Rules Change August 18, 2021 Overview & Summary In an […]

Read More
1 2 3 6
Copyright Compliance Risk Concepts | All Rights Reserved © 2023 | Privacy Policy
magnifier