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FINRA Issues 2024 Annual Regulatory Oversight Report | Carlton Fields

FINRA issued its 2024 Annual Regulatory Oversight Report on January 9, 2024, providing a glimpse into FINRA’s current regulatory oversight of member firms and their registered personnel...

Exchange-act-rule , Securities-exchange , Advertising-regulation-department , Membership-application-program , Exchange-act , Channel-communications , Regulatory-oversight-report , Market-options-supervision , Potential-intrusion-report-card , Social-security , Application-program

FINRA adds crypto assets section to its annual oversight report

FINRA adds crypto assets section to its annual oversight report
cointelegraph.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from cointelegraph.com Daily Mail and Mail on Sunday newspapers.

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DOL Finalizes Rule Opening Door to ESG Investing in Retirement Plans | Goodwin

Regulatory Developments - CFPB Issues Guidance on Investigation Practices by Consumer Reporting Agencies - On November 22, the DOL announced a final rule...

United-states , America , Marty-walsh , Membership-application-program , Exam-targets-broker-crypto-asset-communications , Goodwin-public-company-advisory , Investigation-practices , Consumer-reporting , Employee-retirement-income-security-act , Investment-adviser , Procedures-involving , Investment-advisers-act

FINRA Urges Firms To Focus On Succession Planning - Financial Services

FINRA recently published Regulatory Notice 22-23, providing guidance regarding firm and representative succession planning, including relevant FINRA rules and administrative processes and questions...

Membership-application-program , Regulatory-notice , Mondaq , Finra-urges-firms-to-focus-on-succession-planning , Finance-and-banking , Financial-services ,

FINRA Urges Firms to Focus on Succession Planning | Goodwin

FINRA recently published Regulatory Notice 22-23, providing guidance regarding firm and representative succession planning, including relevant FINRA rules and administrative processes...

Membership-application-program , Regulatory-notice , Take-now ,

Compliance Risk Concepts Expands Leadership Team to Support Strategic Growth

/PRNewswire/ -- Compliance Risk Concepts LLC ("CRC"), a business-focused team of financial services industry senior compliance professionals and executives,...

Donald-cutler-elizabeth , Mitch-avnet , Jonathan-telfair , Darren-norwood , Kaitlyn-gibbs , Regulatory-research , Research-capabilities-yield-superior-client-services , Membership-application-program , Compliance-risk-concepts , Haven-tower-group , Regulator-jonathan-telfair-bolsters-experienced-senior-team , Leadership-team-is

FINRA's Fixation On Unpaid Arbitration Awards Has Morphed Into Something More Dangerous | Ulmer & Berne LLP

Shortly, I hope to get around to drafting a blog post about FINRA’s latest demonstration of abasement to PIABA and claimants’ counsel everywhere, namely new Rule 4111. But, that rule is...

Membership-application-program , Restricted-firm , Dispute-resolution , Member-supervision , Reg-notice , Pending-arbitration-claims , Pending-arbitration , Associated-persons ,

FINRA Membership Application Program Transformation

This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and aligning the program with the firm grouping model developed by FINRA’s Member Supervision Department

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FINRA Closes Out 2021 with Further Guidance on Pandemic-Related Issues for Member Firms | Moore & Van Allen PLLC

After extensive retrospective review of FINRA Rule 4370, which covers member firm business continuity plan (“BCP”) requirements during times of business disruption (such as the COVID-19...

Moore-van-allen , Membership-application-program , Van-allen , Retrospective-rule-review-report , Continuity-planning , Lessons-from , Business-continuity-plans , Emergency-contact-information , Regulatory-notice , Pandemic-review , Account-opening , Dispute-resolution

FINRA Names Sarah Gill As Ombudsman, Cindy Foster As VP Of MAP Program

FINRA Names Sarah Gill As Ombudsman, Cindy Foster As VP Of MAP Program
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