Tags » Financial Industry Regulatory Authority

Exam priorities for securities firms in 2017

The Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) recently released their annual examination priorities for 2017.  Although the regulators independently develop their areas of focus, there are six overlapping priorities that securities firms may want to address in the near term. 1,017 more words

Financial Services

BrokerCheck System Offers Information about Brokers

A full service retail and institutional broker-dealer in New York, New York, Aegis Capital Corp. operates with a focus on enhancing client goals through unencumbered advice and a conflict-free platform. 126 more words

Aegis Capital Corp

Chief Counsel rules that fines paid to FINRA are not deductible

IRS Chief Counsel has determined that the Financial Industry Regulatory Authority (FINRA) is an entity serving as an agency or instrumentality of the government of the United States. 204 more words


Should You Trust Your Hard Earned Investment or Pension to a Robot?

These robots, of course, aren’t like those you see in films. Instead they are capable of providing investment advice usually delivered by a human adviser sitting behind a desk — and for a lot less money. 732 more words

Financial Industry

FINRA Regulatory and Examinations Priorities Letter

A partner at Freeman, Freeman & Smiley, LLP, in Los Angeles, attorney Sylvia Scott leads the firm’s Securities Regulation Practice Group. A lawyer with tremendous exposure to matters involving securities regulatory compliance, Sylvia Scott’s focus as an attorney is on helping clients abide by the regulations of the… 173 more words

Sylvia M Scott

SEC publishes CAT National Market System Plan for public comment

On April 27, 2016, the Securities and Exchange Commission (SEC) unanimously approved a proposal to implement the Consolidated Audit Trail (CAT) National Market System (NMS) plan for public comment. 519 more words

Financial Services