Episode 37: FINRA 2019 Exam Priorities
On episode 37 of the CCO Buzz we discuss some key points regarding the newly released 2019 FINRA Examination Priorities.
On episode 37 of the CCO Buzz we discuss some key points regarding the newly released 2019 FINRA Examination Priorities.
Cybersecurity is regularly identified as one of the top concerns facing the financial industry as a whole.
In this CCO Buzz we discuss the newly released 2019 SEC Exam Priorities, as part of a two part series.
Join us at the NSCP Regulatory Interchange with the SEC at the San Francisco Schwab Center on May 4th, 2018.
The national conference put on by the National Society of Compliance Professionals is one of the best in the industry….and it is coming up – fast. It’s not too late to register, and you can do so by clicking here.
According to Robert W. Cook, since becoming the president and CEO of FINRA in August 2017, he has “been engaged in an ongoing ‘listening tour’ meeting with member firms, regulators and investor groups, among others.” In the cover letter he … Read More
Amendment to FINRA Rule 2210
On October 8, 2015, the Securities and Exchange Commission (“SEC”), approved changes to Financial Industry Regulatory Authority, Inc. (“FINRA”) Rule 2210 requiring FINRA member firms that have retail clients to include a link to FINRA’s BrokerCheck on their websites. BrokerCheck … Read More