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Tag Archives: regulatory and examination priorities

Broker-Dealer Cybersecurity: Protect Yourself or Pay the Price

Posted in Broker-Dealer Regulation, Cybersecurity/Privacy, Enforcement, FINRA Enforcement

In its recently issued 2014 Regulatory and Examination Priorities Letter, FINRA stated that cybersecurity remains a priority given the ongoing cybersecurity issues reported across the financial services industry, including the increasing frequency and sophistication of attacks targeting the nation’s largest financial institutions. The securities industry watchdog continues to be concerned with the integrity of firms’… Read More

A Must Read: FINRA’s 2014 Exam Priorities

Posted in Broker-Dealer Regulation, Enforcement, FINRA Enforcement, Investment Adviser Regulation

FINRA did not wait for any dust (or snow) to settle on the New Year before alerting the brokerage industry and the public about its regulatory and examination priorities for 2014. This year’s letter, issued earlier than ever before, mixes many time-honored themes, such as conflicts of interest, complex products, suitability, AML, private placements, and… Read More