Financial regulations

The company’s survival may depend on a continuing security awareness training program.

While surprised by Donald Trump's decision to add the reinstatement of the 1930s-era banking law to the GOP platform, Republican lawmakers at the convention in Cleveland maintained that Trump is a better choice for the economy and the financial system.

Firms and brokers would contribute to a pool to compensate investors who were defrauded but are unable to collect, according to one recommendation.

Firm had sought to quash lawsuit from two former employees who alleged numerous securities laws violations, hostile work environment and wrongful termination.

A federal court in Texas, which has sided against the DoL in recent cases, is scheduled to hear arguments later this year on whether department overstepped its bounds with new rule.

Several of Dawn Bennett's clients suffered major investment losses, "with two losing $1 million and $17.6 million," according to the SEC.

Plus, why matching clients with brokers of their race, religion or ethnicity might not meet the legal threshold for affinity fraud.

Social media is included in regulatory requirements.

The proposed rule would require firms to have blueprints in place for natural disasters, cyber disruptions and transitioning clients if a practice winds down.

Allen Holeman "willfully failed to amend" U4 forms to disclose tax liens as required, according to the regulator.