FINRA is ever-increasing its focus on rogue brokers. For the latest on this issue, check out this recent post.
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Joshua Horn
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FINRA Notice to Members; Enhanced Confirmation Disclosures
By Joshua Horn on
FINRA has recently issued a notice to members regarding to the enhancement of confirmation disclosures. Here is a link to that notice.
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Ransomware; don’t be held hostage
By Joshua Horn on
Ransomware is an ever increasing problem. To learn more about it and to avoid its impact, check out this blog.
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The Tale of the Recidivist Broker
By Joshua Horn on
The CEO of FINRA recently announced that FINRA plans to provide firms with additional resources to deal with recidivist brokers. So what does this mean?
For years, FINRA’s exam priorities…
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Rulemaking Through Enforcement; What’s Next?
By Joshua Horn on
FINRA has rulemaking authority. Nevertheless, the trend would appear to be that FINRA is making its rules through the enforcement process. Read this blog for insightful thoughts on this issue.
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The Supreme Court Limits The SEC’s Ability To Seek Disgorgement
By Joshua Horn on
The Supreme Court recently ruled that a five year statute of limitations applies to when the SEC seeks disgorgement. To learn more, read this alert.
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What Are You Doing About Outside Business Disclosures?
By Joshua Horn on
FINRA is currently reviewing its rules regarding outside business activities and private securities transactions. From time to time, FINRA reviews its rules and application of those rules to see if…
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So You Want To Change Firms — Part II
By Joshua Horn on
So you really want to change firms. Do you have a restrictive covenant or a non-compete? If so, your transition may be a little more complicated. To learn what restrictions…
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So You Want To Change Firms
By Joshua Horn on
One certainty in the brokerage world is that registered representatives often switch from one member firm to another. There is nothing wrong with the switch, but there is a…
You Better Watch Your Suitability Determinations
By Joshua Horn on
The SEC recently announced that it charged a former broker with knowingly or recklessly trading unsuitable investment products for five customers and taking $170,000 for one of those customers. These…
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