Earlier this week, the New York Stock Exchange halted trading for nearly four hours due to a technical “glitch”. While the shutdown caused a lot of uncertainty among investors and
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Twitter: More than just Social Media
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Since Al Gore invented the internet, we have had an unprecedented amount of information and data right at our fingertips. However, given the immeasurable quantity of this information, it has…
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Who You Gonna Call? FINRA!
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Last month, FINRA launched a toll-free FINRA Securities Helpline for Seniors at 844-57-HELPS (844-574-3577) to provide older investors with assistance from FINRA staff related to concerns they have with their…
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The SEC Cracks Down on Anti-Whistleblower Agreements
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Around this time last year, the Securities and Exchange Commission’s Office of the Whistleblower warned lawyers that they may be disciplined for drafting contracts to incentivize whistleblowers to not…
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Cybersecurity: FINRA’s Take
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We recently highlighted the Security and Exchange Commission’s 2014 OCIE Cybersecurity Initiative. Not to be outdone, FINRA also released its Report on Cybersecurity Practices, which provided a much…
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New Look For FINRA.org
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Earlier this week, FINRA launched its redesigned website FINRA.org. The website boasts a cleaner and more intuitive design, making information easier to find and read for users. Streamlined navigation…
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Do Not Fall Behind On Cybersecurity
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Cybersecurity is more than just a trending topic. As hacks and leaks continue to be publicized, the Securities and Exchange Commission is stepping up its game and increasing its focus…
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FINRA in 2015 – High-Risk and Recidivist Brokers
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FINRA is planning on turning up the heat on perceived “high-risk” brokers this year, and the firms that hire them. Continuing our discussion regarding FINRA’s 2015 Regulatory and Examinations Priorities …
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FINRA in 2015 – Wealth Events
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FINRA’s 2015 Regulatory and Examinations Priorities Letter provides guidance regarding areas of focus in the “Sales Practice” for this year. Previously, we discussed the various sales products that FINRA…
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FINRA in 2015 – Sales Products
By Fox Rothschild LLP on
Earlier this month, FINRA released its 2015 Regulatory and Examinations Priorities Letter. In the letter, FINRA lays out its 2015 priorities, which focus on three general areas: 1) Sales…
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