FINRA

The SEC wants to expand the circumstances for an RIA to receive performance-based comp and give investors more ways to become accredited.

FINRA enforcement activity covering September 5 – September 25.

The meeting will be held at 10am ET, open to the public, and offered via webcast on the SEC’s website.

FINRA has completed the consolidation of its member supervision, market oversight, and enforcement functions into a single department.

Discussion on the shift to extended hours trading, from the operational to security and surveillance challenges, plus investor and market opportunities.

SEC approves FINRA’s overhaul of OBA rules, easing oversight of low-risk side jobs while preserving scrutiny of investment activities.

Attorneys examine US regulator moves to finalize rules, plus expectations and efforts of the compliance community in preparing for them.

FINRA enforcement activity covering August 22 – September 4.