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FINRA News: SIFMA, Reg BI, And SEC

Securities Industry and Financial Markets Association Compliance and Litigation Seminar focuses: digital assets, social media, Reg BI, remote inspections. SEC: how broker-dealers and investment advisors can meet their care obligations when providing investment advice

Jonathan sokobinNational securities clearing corporationFinancial markets associationExchange commissionDivision of enforcementRestricted firmAutomated customer account transfer serviceNational futures associationInterest include cryptoSecurities industryLitigation seminarCrypto assetsCyber unitBest interestNew regInvestment advisers act

Public scarlet letter coming this year for sketchy brokerages flagged by regulator FINRA

A new SEC-approved rule will allow regulators to publicly identify 'restricted firms' in BrokerCheck searches.

United statesHugh berksonFrancis skinnerAndrew harnettRestricted firmFinancial industry regulatory authorityRestricted firm on brokercheckPublic investors advocate bar associationAmerican securities administrators associationExchange commission on febExchange commissionFederal registerTaping ruleCoastal equitiesRestricted firmsRegulation and compliance

FINRA Proposal Modernizes Supervision Rule to Recognize WFH | Burr & Forman

FINRA Proposal Modernizes Supervision Rule to Recognize WFH | Burr & Forman
jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.

Burr formanSupplementary materialResidential supervisory locationSupplemental materialRestricted firmsTaping firms

The 411 On FINRA Rule 4111 | Ulmer & Berne LLP

Well, Memorial Day is just past us, so we all know what that means: it’s time for FINRA to conduct its first annual assessment of its member firms to determine whether they should be.

Department of advertising regulationFirm associationFirm association categoriesDepartment evaluationOffice of hearing officersCommodity futures trading commissionDepartment evaluation in stepMember firm adjudicated eventRestricted firmMember firm pending eventAtlanta district officeMemorial dayStep oneRevaluation datePreliminary identification metricsPreliminary criteria

SEC Adopts Rule Imposing Additional FINRA Obligations On Firms With A History Of Misconduct - Finance and Banking

SEC Adopts Rule Imposing Additional FINRA Obligations On Firms With A History Of Misconduct - Finance and Banking
mondaq.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondaq.com Daily Mail and Mail on Sunday newspapers.

Caroline crenshawAllison herren leeSteven lofchieRestricted firm obligationsDepartment of member regulationRestricted firmsகரோலின் கிரேன்ஷாவ்அல்லிசன் ஹெரன் லீ