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Stories of Interest
- This Family Bet It All on Bitcoin
- Clearinghouses Pass CFTC Liquidity Stress Tests
- President Trump Admits He’s Trying to Kill Obamacare. That’s Illegal.
- Trump Plunges Down List of ‘America’s Richest’
- Is Trump’s “Foreclosure King” in Over His Head?
- FBI Arrests NCAA Basketball Coaches and Adidas Rep in Bribery Probe Involving Recruitment
- Equifax CEO Steps Down Amid Hacking Scandal
- Litigation Costs to Rub Salt in RBS Investor Wounds
- RIAs Poised to Land Wirehouse Recruits - Dan Jamieson
- Citibank and U.K. Affiliate to Pay $550K Penalty for Swap Data Reporting Violations - CFTC
- AIG to Restructure into 3 New Units, Marking CEO's First Big Move
- Accounting Firm Deloitte Says It Suffered Cyberattack (subsc reqd)
- Upcoming FINRA Board Meeting and FINRA360 Update
- Elizabeth Warren Lifts Hold on Trump DOJ Antitrust Nominee
- Bigger Mergers Narrow Indy Reps' Options, Alter IBD Channel - Dan Jamieson
- Dentons to Merge with U.K.'s Murray & Spens
- BigLaw Hogan Lovells Announces Hundreds of Buyouts, Layoffs - Almost 500 Affected
- Faith-Based Advisor Censured for Selling Class A Shares to Clergy
- After FINRA Bar, CFP Board Suspends Texas Advisor
- iCapital Network to Acquire U.S. Private Equity Access Fund Platform from Deutsche Bank
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NEWSLETTERS & ALERTS
FINRA Quarterly Disciplinary Review - April 2017
FINRA just published its quarterly review of recent disciplinary actions involving registered reps - which complement the detailed disciplinary information and decisions and a summary of monthly disciplinary actions on FINRA's web site.This quarter, FINRA highlights the following categories:
1. Failing to Adopt and Implement Supervisory Procedures Related to Research Reports and an AML Compliance Program.
2. Using Non-Firm Communication Methods to Communicate With a Customer, and Making Exaggerated and Promissory Claims About Securities
3. Purchasing Securities While in Possession of Material Nonpublic Information
4. Improperly Effecting Discretionary Trades in Accounts, Failing to Mark Trades as Discretionary, and Making False Statements on Compliance Questionnaires
5. Exercising Time and Price Discretion in the Purchase of Municipal Bonds, and Failing to Disclose the Use of That Discretion on Compliance Questionnaires
6. Failing to Timely Disclose an outtside Business Activity and Providing False Information on Compliance Questionnaires
7. Accessing Study Materials and Personal Notes During a General Securities Representative (Series 7) Exam
8. Opening a Securities Account at an Outside Firm, Effecting Securities Transactions in the Outside Account, and Signing New Account Documents at the Outside Firm
[Click link below for specific case studies.]