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 […]
Read MoreFailure 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 […]
Read MoreFINRA 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 […]
Read MoreSigns 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 […]
Read MoreMutual 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 […]
Read MoreFINRA 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”) […]
Read More10 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 […]
Read MoreFINRA 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) […]
Read MoreFINRA’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 […]
Read MoreExpectations 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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