On October 21, 2024, the Securities and Exchange Commission Division of Examinations published its examination priorities for fiscal year 2025.1 In this alert, we offer ten observations for broker-dealers. Our observations...more
10/31/2024
/ Artificial Intelligence ,
Broker-Dealer ,
Compliance ,
Cryptoassets ,
ETFs ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
Form CRS ,
Information Reports ,
Investment Adviser ,
Regulation BI ,
Regulation S-P ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Third-Party Service Provider
On January 9, 2024, the Financial Industry Regulatory Authority published its 2024 FINRA Annual Regulatory Oversight Report. Previously titled Report on FINRA’s Examination and Risk Monitoring Program, the Report is released...more
1/18/2024
/ Artificial Intelligence ,
Best Execution ,
Broker-Dealer ,
Conflicts of Interest ,
Cryptoassets ,
Electronic Communications ,
Equity Securities ,
Financial Industry Regulatory Authority (FINRA) ,
Fixed Income Investments ,
Public Communications ,
Regulation Best Interest ,
Regulation BI ,
Regulation SHO ,
Regulatory Oversight ,
Retail Investors ,
Retail Sales ,
Securities and Exchange Commission (SEC)
More than ten years after the Global Research Settlement and the adoption of NASD Rule 2711, the Securities and Exchange Commission (SEC or Commission) has approve new FINRA rules addressing conflicts of interest for both...more
Overview and Background -
On May 12, 2015, the staff of the Financial Industry Regulatory Authority (FINRA staff) issued an interpretive letter to Hartford Funds Distributors, LLC (Hartford Funds) that conditionally...more