FINRA Release Archives - Vigilant LLC

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 […]

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”) […]