FINRA

First FINRA Fine for Use of Social Media Influencers

FINRA Introduction FINRA recently announced its first enforcement action related to the use of Social Media Influencers. This stems from FINRA’s Targeted Exam of Firm […]

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Failure of Properly Implementing WSPs | FINRA Fine

FINRA Introduction A FINRA Firm was recently disciplined for failures to properly implement WSPs that would adequately review the electronic communications of its registered representatives. Without admitting or denying […]

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FINRA Expels First Broker Dealer Under Regulation BI

FINRA Brief Introduction A New York Firm was expelled by FINRA on May 12th related to multiple Regulation BI violations. This would be the first […]

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Signs Your Firm May Not Be SEC or FINRA Compliant

From archiving your business’s communication records to filing quarterly and annual reports, you must take several steps to ensure your business complies with SEC and […]

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Mutual Fund Compliance: An Overview of What You Need to Know

There continues to be new rules and regulations that impact Mutual Funds, and other Registered Funds. Recent changes like the new derivatives rule and marketing […]

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FINRA Provides A Reminder Towards CCO Liability

Brief Introduction to New FINRA Release FINRA released a Regulatory Notice on Friday, March 17th, stating that they consider the role of the Chief Compliance Officer (“CCO”) […]

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10 THINGS EVERY BROKER-DEALER NEEDS TO KNOW ABOUT FINRA RULE 2210

FINRA Rule 2210 is a comprehensive regulation governing the approval, review and recordkeeping of a broker-dealer’s communications and correspondences. It also concerns their filing requirements and […]

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FINRA Cites MSRB Rule G-13 in Action Against Broker Dealer

  Whitepapers | FINRA   One of Vigilant’s Directors, Deane Armstrong, created a Whitepaper discussing issues raised by the recent FINRA Acceptance, Waiver, and Consent (AWC) […]

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FINRA’s 2021 Annual Conference Remarks

  9 Key Takeaways from FINRA’s 2021 Annual Conference   On May 20th, 2021 the SEC released remarks at the 2021 FINRA Annual Conference. This Conference […]

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Expectations from FINRA’s 2021 Report on Examination and Risk Monitoring Programs

FINRA released its report on Risk Monitoring and Examination Activities which is designed to provide annual insights from FINRA’s ongoing regulatory operations and inform member firms’ compliance programs. […]

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