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With so many compliance systems on the market, regulators are likely to look askance at firms that don't embrace them.
February 13 -
The latest group of firms to be dinged for "off-channel" communications shows encrypted messages remain a source of concern for regulators.
February 12 -
A Republican running for the U.S. House accused the Wall Street powerhouse of violating its own rules by not letting her step aside to conduct a campaign. A FINRA panel agreed.
February 8 -
The charges likely lead to a "layup" situation for FINRA should it seek to oust the broker.
February 2 -
Helen Grace Caldwell told her employees about her side film hustle but neglected to add that her clients were helping her fund it.
January 24 -
The broker-dealer group is questioning the Department of Labor's plans to replace a simpler rule adopted by the Trump Administration to determine when workers qualify as direct employees.
January 18 -
Millions of dollars are at stake for dozens of former employees — but the case also raises questions about the federal law governing retirement plans.
January 10 -
The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.
January 2 -
Only 68 tipsters received money in 2023, down from 100 in the previous year.
December 26 -
Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.
December 22