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Keywords: Registered representatives
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Journal Articles
The SEC Speaks 2018: the US Securities and Exchange Commission’s current priorities and conference overview
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (3): 1–4.
Published: 25 September 2018
... 2018 Sidley Austin LLP. 2018 2018 Sidley Austin LLP. Licensed re-use rights only Financial Industry Regulatory Authority (FINRA) Regulatory US Securities and Exchange Commission (SEC) Broker-dealers Registered representatives Securities enforcement On February 23 and 24, 2018...
Journal Articles
SEC charges broker-dealer and AML officer for failing to file SARs related to pump-and-dump scheme
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (3): 41–43.
Published: 04 September 2017
...) Broker-dealers Anti-money laundering (AML) Registered representatives Suspicious Activity Reports (SARs) On January 25, 2017, the Securities and Exchange Commission (“SEC”) announced administrative proceedings against New York-based brokerage firm Windsor Street Capital (“the Firm”) and its...
Journal Articles
SEC approves FINRA’s rules to protect seniors from financial exploitation
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (3): 64–66.
Published: 04 September 2017
... Authority (FINRA) Seniors Broker-dealers Registered representatives Financial exploitation On March 30, 2017, the SEC approved the adoption of new FINRA Rule 2165 (Financial Exploitation of Specified Adults). (See www.finra.org/sites/default/files/Regulatory-Notice-17-11.pdf and our related blog...
