FINRA Archives - Vigilant LLC

FINRA Releases 2023 Risk Monitoring Report | 4 Key Topics

News & Alerts Brief Introduction On January 10th, FINRA published a report for 2023 to help firms strengthen their compliance programs. The report covered twenty-four topics, with new topics […]

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”) […]

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) […]