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Watch out: FINRA fines more than doubled last year
FINRA fines for financial firms have dramatically increased over the years. The agency levied fines amounting to $135 million in 2014, an increase of 125% from the $60 million assessed in 2013, according to Sutherland Asbill & Brennan, the law … Continue reading → …
Broker/Dealer Archiving and SEC Rule 17a-4 Recordkeeping Rules
The way that a Broker/Dealer archives information, including its Website, should be of particular concern and focus for financial firms (SEC Rule 17a-4 Recordkeeping Rules). In a recently released video cast “Financial and Technology Issues for U.S. Broker/Dealers,” Sutherland Asbill …
Ding, ding…Cybersecurity alarm bells ring loudly from SEC/FINRA
“Cybersecurity threats know no boundaries” says SEC Chairman Mary Jo White in a recently released statement. “That’s why assessing the readiness of market participants and providing investors with information on how to better protect their online investment accounts from …
Newly Released FINRA Cybersecurity practices – What Financial Firms Need to Know
Cybersecurity is a key risk for financial firms and will likely continue to escalate over time. Today FINRA released its report on Cybersecurity practices. FINRA outlines some of the key challenges firms face. The report details some of principles and … Continue reading → …
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