The Securities and Exchange Commission (SEC) recently announced that J.P. Morgan Securities LLC agreed to pay $125 million after admitting to widespread and longstanding failures to...
Continue Reading
The Securities and Exchange Commission (SEC) recently announced that J.P. Morgan Securities LLC agreed to pay $125 million after admitting to widespread and longstanding failures to...
Continue Reading
The U.S. Securities and Exchange Commission’s (SEC) public meeting earlier this month, centered around crypto and digital assets, should put companies operating in the space on notice of an...
Continue Reading
Records Retention, SEC Compliance
Last week, an inquiry opened by the U.S. Securities and Exchange Commission (SEC) into how a number of Wall Street banks are keeping track of their employee communications grabbed headlines.
Continue Reading
FINRA's Best Practice Advice is Timely Amid More Prevalent Cloud-Based Strategies for Advisors
Continue Reading
As more financial firms use social media to reach and engage with customers, regulators including the SEC and FINRA still require that they preserve social media posts and communications....
Continue Reading
The U.S Securities and Exchange Commission released its Division of Exams 2021 Examination Priorities last week, outlining the key risks, trends and examination priorities for the year...
Continue Reading
