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Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NEWSLETTERS & ALERTS
FINRA 2018 Report on Examination Findings [First of a Series]
by Howard Haykin
Last Friday, FINRA published its Annual Report on FINRA Examination Findings, a collection of selected observations from recent examinations that FINRA considers worth highlighting because of their potential significance, frequency, and impact on investors and the markets. That said, …
► this report does not represent a complete inventory of observations from all FINRA examinations; nor does it indicate that any specific issues exist at any particular firms.
► this report describes practices FINRA has observed to be effective in certain circumstances, which firms may use as a resource to improve their compliance and supervisory programs.
► readers should not interpret this report as creating new legal or regulatory requirements or new interpretations of existing requirements.
HIGHLIGHTED OBSERVATIONS. The report focuses on these topics:
- Suitability for Retail Customers; (including findings from ... 'a targeted examination (sweep) of volatility-linked products.')
- Fixed Income Mark-Up Disclosure;
- Reasonable Diligence for Private Placements;
- Abuse of Authority.
SUMMARY OF ADDITIONAL OBSERVATIONS.