Nearly a year ago, FINRA adopted Rule 2165 (Financial Exploitation of Specified Adults) and amended Rule 4512 (Customer Account Information). This new rule and amended rule were ways to address
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Joshua Horn
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Takeaways From The SEC Investor Bulletin On Wrap Fee
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The SEC recently put out an Investor Bulletin on wrap fees. Although this guidance is steered toward consumers, there are lessons to be learned by firms who offer such programs.
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What FINRA Found in its Examinations
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FINRA recently issued a report regarding its examination findings. FINRA issued this report so that firms can gain insight from the work of FINRA’s examination of other firms.
Among the…
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What’s The Deal With Branch Office Inspections?
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In Notice to Members 17-38, FINRA has put out for comment a change to Rule 3110 that would allow the remote inspection of certain “qualifying offices” as that term is…
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So Who Wants To Lie On Their U-4
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The SEC recently upheld a statutory disqualification that FINRA imposed where the representative filed a false U-4 and falsely answered compliance questionnaires. It appears as though the registered representative…
So The SEC Is Now Focused On Retail Investors
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The SEC recently announced an enforcement initiative that will target retail investor harm. The agency’s task force will use data analytics to find widespread problems regarding fee disclosures and unsuitable…
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FINRA Changes To Arbitration Procedure
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FINRA is considering a number of changes to its arbitration procedure. For a good discussion on the subject, see this article.
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So You Think You Have No Cybersecurity Issues
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Recent exams have shown that cybersecurity weaknesses are a real issue for the industry. This article from the Investment News provides the detail.
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Cyber-Security and the SEC Alert
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For a nice discussion on the SEC’s cyber-security alert, please see this link.
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Cybersecurity — What are you doing
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The SEC recently issued an alert for investment advisors regarding cybersecurity. Here is a link to a story on the alert. Are you doing enough to fight this risk? If…
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