SEC Rule 17a-1
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FINRA fine on broker-dealer spotlights supervisory controls
The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.
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Latest Reg BI fine from FINRA shows why boilerplate policies no longer work
FINRA sends a clear signal that procedural lapses alone can now constitute a violation.
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FINRA sweep targets foreign small-cap offerings
The information requests focus on policies, procedures, training, and surveillance controls around small-cap offerings and trading.
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How the language of compliance is merging with the syntax of code
The regulatory landscape for digital assets is shifting from uncertainty to structured adaptation
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FINRA modernizes oversight – from structural reforms to smarter enforcement
FINRA is changing to become more efficient, transparent, and adaptable. We assess the new approach and the thinking behind it.
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Regional bank loan oversight lapses and borrower fraud disclosures jolt market
Markets take a hit amid broader fears about credit quality and questions over risk assessment.
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Precious metals scam targeting seniors halted by 30 states, and US regulators
Fraudulent scheme targeting retirement savings results in $51.2m penalties against precious metals trader.
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Soccer club and airline investor Josh Wander indicted for alleged $500m fraud
The indictment charging Wander with wire fraud, securities fraud and conspiracy to commit those crimes was unsealed Thursday in federal court in Manhattan.