With the exception of those of you who have literally been asleep for the last few years, you are well-versed in the attention FINRA and the SEC are giving to issues surrounding elder investors.
FINRA Proposes Amendments to Its TBA Margin Proposal: Much Ado About Nothing or Meaningful Amendments?
On January 14, 2016, the Securities and Exchange Commission (“SEC”) solicited comments on a proposal by Financial Industry Regulatory Authority, Inc. (“FINRA”) to revise its proposed changes to FINRA Rule 4210.
As we all know, cybersecurity remains a top priority for the SEC and FINRA.
Those famous words of the immortal Yogi Berra hold true when it comes to the SEC exam priorities for 2016.
FINRA Issues Notice On the Application of the Mark-Up Rule to Exempted Government Securities Transactions
The Financial Industry Regulatory Authority released Regulatory Notice 16-03, which discusses the Securities and Exchange Commission’s approval of amendments to FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities).
Other than the non-defined “culture”, FINRA’s 2016 exam priorities are also focused on supervision and risk management.
Well, guess what? FINRA does not agree with this statement to such a degree that culture is now part of FINRA’s exam priorities for 2016.
FINRA’s 2016 Examination Priorities Identifies New Initiatives On Market Integrity and Firm Culture and Further Concern On Supervision and Controls
The recently issued 2016 Regulatory and Examination Priorities Letter discloses FINRA’s new initiatives on market integrity and firm culture and reflects a focus on firms’ supervision regarding conflicts of interest and technology.
The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority proposal to create a set of rules for FINRA member firms that meet the definition of “capital acquisition broker” (CAB) and elect to be governed by the rules.