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Stories of Interest
- SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
- SEC Charges Former Bitcoin Exchange and Its Founder With Fraud
- JPMorgan Chase to Replace NYC Headquarters with 70-Story Skyscraper
- Citigroup Raises CEO Corbat's Pay 48% to $23Mn
- Should Congress Create a Crypto-Cop?
- JPMorgan Weighs Buying an Exchange-Traded Funds Firm
- Hey, Goldman Sachs: Wanna Buy BNY Mellon?
- SEC Order Rejecting Acquisition of Chicago Stock Exchange (CSX) by Chinese-Baesd Company
- Kyle Moffatt Named Chief Accountant in SEC CorpFinance
- SEC Suspends Trading in 3 Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
- Karen Garnett, Assoc. Director of SEC CorpFinance, to Leave After 23 Years of Service
- Louisiana Adviser Barred for Hiding Losses from Investors
- Connecticut HF Manager Illegally Diverted Investor Money - Now Owes Nearly $13Mn
- White House Cleaning House of Advisors Without Full Security Clearance
- Goldman Projects 30% Growth in Wealth Management Advisor Force
- Whistleblower Alleges Manipulation of CBOE Volatility Index
- FINRA Looking Into VIX (CBOE Volatility Index) Manipulation: WSJ
- Atlanta-Area Resident Charged with Misusing Investor Funds - SEC
- FINRA Announces 2018 West Region Networking Seminar
- Alberto Arevalo, Associate Director in Office of International Affairs, to Retire From SEC
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Report on FINRA Examination Findings
FINRA released a Report on FINRA Examination Findings as another resource that firms can use to strengthen their compliance with securities rules and regulations. The report focuses on selected observations from recent examinations that FINRA considers worth highlighting due to their potential impact on investors and markets or the frequency with which they occur.
This report also describes certain practices that FINRA has observed to be effective in appropriate circumstances, which other firms may be able to use as a resource in tailoring their compliance and supervisory programs to their business. There should be no inference, however, that FINRA requires firms to implement any specific practices described in this report that extend beyond the requirements of existing securities rules and regulations.
FINRA expects that this report will evolve over time as we work to ensure that it is helpful in supporting firms’ compliance and supervisory efforts. FINRA welcomes feedback on this report, and asks that suggestion be sent to: (i) Daniel Sibears, EVP, Regulatory Ops/Shared Services [(202) 728-6911]; or, (ii) Steven Polansky, Sr. Director, Regulatory Ops/Shared Services [(202) 728-8331].
FINRA offers hIghlighted observations in the following areas:
- Outside Business Activities and Private Securities Transactions
- Anti-Money Laundering Compliance Program
- Product Suitability
- Best Execution
- Market Access Controls
► Alternative Investments Held in Individual Retirement Accounts (IRAs)
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