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FINRA Facts And Trends: January 2024 - Financial Services

Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement.

Exchange act ruleBank secrecyTechnology managementMarket access rule exchange actRisk monitoring programRegulatory oversightRegulatory oversight reportRisk monitoringAsset developmentsCrypto assetMembership applicationsAlternative tradingFixed income securitiesAdvertised volumeAccess ruleMarket access rule

The Rise of a New FINRA Risk & How to Navigate It | Corporate Compliance Insights

Sarah Hutchins and Corri Hopkins dig into the SEC’s first Reg BI enforcement action and explore where advisers are still being tripped up.

North carolinaUnited statesSouth dakotaParker poeSarah hutchinsInternational securitiesFinancial industry regulatory authorityCorri hopkinsRegulation best interestSuitability ruleInvestment advisers act

Private Placement Offerings are on the Rise — Know your Obligations; FINRA Notice 23-08 | Bressler, Amery & Ross, P C

On May 9, 2023, FINRA issued Regulatory Notice 23-08 (the “Notice”) to remind members of their obligations when selling private placements (i.e., unregistered securities sold pursuant.

Regulatory noticeSecurities actRegulatory noticesReasonable investigationSpecific obligationsSuitability ruleInterest obligationPlacement filingsSecurities transactionsSupervisory practices

The SRA takes first steps on climate change

The SRA takes first steps on climate change
lawgazette.co.uk - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from lawgazette.co.uk Daily Mail and Mail on Sunday newspapers.

Steven vaughanUniversity college londonLaw societyExtinction rebellionSuitability ruleSenior lecturerClimate changeWhat thinnerThicker accounts might require

Regulation Best Interest And Form CRS: Spotlight On FINRA s 2022 Exam And Risk Monitoring Program Report - Corporate/Commercial Law

This is the first in a series of alerts discussing topics covered by FINRA in its 2022 Examination and Risk Monitoring Program Report (the "Report").

Risk monitoring programRegulation best interestSuitability ruleCare obligationRegulation best interest and form crs spotlight on finras 2022 exam risk monitoring program reportCorporate commercial lawCorporate and company lawFinance and bankingFinancial servicesInvestment strategy

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