Please enjoy this free trial of our subscription content service, for a limited time only.
FINRA Rule 3130
The rule also requires an attestation that the chief executive officer has conducted one or more meetings with the chief compliance officer(s) in the preceding 12 months to discuss such processes.
FINRA alleges the firm did not fingerprint and properly screen non-registered associated persons based in foreign locations as required by its rules.
Julie DiMauro3 min read
Disciplinary decisions issued August 10 – 16, 2024.
Thomas Hyrkiel4 min read
BCPs can help your organization deal with difficult situations, ensuring it can continue to function with as little disruption as possible.
Julie DiMauro<1 min read
Disciplinary decisions issued August 3 – 9, 2024.
Thomas Hyrkiel3 min read
Disciplinary decisions issued July 27 – August 2, 2024.
Thomas Hyrkiel5 min read
The firm was one of several businesses recently censured for a failure to maintain well-functioning and appropriate WSPs.
Julie DiMauro5 min read
Disciplinary decisions issued July 20 – 26, 2024.
Thomas Hyrkiel2 min read
Commerce presses on with measures on AI risk mitigation, adding to a slew of measures this year from US regulatory agencies.
Julie DiMauro4 min read