GRIP2 min read
Julie DiMauro35 min listen
GRIP2 min read
The supervisory control system must:
For firms reporting $200m or more in gross revenues in calendar year (n) a report in calendar year (n+1) must be submitted to senior management, which must include, for year (n):
Disciplinary decisions issued August 9 – 15, 2025.
Thomas Hyrkiel2 min read
Registered rep failed to respond to two FINRA staff requests to provide information and documents, and another two requests to appear for on-the record testimony.
Julie DiMauro2 min read
Disciplinary decisions issued July 26 – August 8, 2025.
Thomas Hyrkiel3 min read
Rep allegedly exchanged thousands of text messages and emails with customer he had a profit-sharing agreement with, using personal mobile device.
Julie DiMauro2 min read
Disciplinary decisions issued July 19 – 25, 2025.
Thomas Hyrkiel1 min read
New findings show US adults, especially those in middle-income bracket, are increasingly unable to cover basic expenses or prepare for emergencies.
Vlada Gurvich3 min read
Allegations of exam cheating get reviewed by the current SEC commissioners.
Julie DiMauro4 min read
Disciplinary decisions issued July 12 – 18, 2025.
Thomas Hyrkiel2 min read