Tags » Financial Industry Regulatory Authority

Exam Priorities for Securities Firms in 2016

The Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) recently released their annual examination priorities for 2016. Although the regulators independently develop their areas of focus, there are seven overlapping priorities that securities firms may want to address in the near term. 772 more words

Deloitte Center For Regulatory Strategies

John Ohashi Publishes Article in FINRA Newsletter

Adjunct Professor John Ohashi published an article, “Managing the Pro Se Hearing: A Suggested Approach,” in The Neutral Corner, the newsletter for the Financial Industry Regulatory Authority (FINRA). 35 more words

Key takeaways: 2015 National Compliance Outreach Program for Broker-Dealers

Posted by Marjorie Forestal, Mike Jamroz and Vishal Kumar on August 31, 2015.

On July 14, 2015, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) hosted the National Compliance Outreach Program in Washington, D.C., to help compliance, audit, and risk officers of broker-dealers better understand how they can improve their firms’ compliance with laws and regulations. 468 more words

Deloitte Center For Regulatory Strategies

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Millennials have a grim financial outlook: It’s harder than ever to pay for college, making many delay settling down and starting a family, and almost half don’t even believe that United States… 530 more words


Cyber-Insider: Mystery Money Manager Charged in Hacking Case

He seems like an American success story: an ambitious Russian who came to the U.S. and went from business school to Wall Street to his own hedge fund. 672 more words


Enjoy the summer sun and browsing through these new job opportunities

Due July 1: Attorney Advisers – Social Security Administration

Join the Social Security Administration as an Attorney Adviser and start your career as a member of the largest adjudicatory system in the western world! 2,313 more words


FINRA’s Regulatory and Examinations Priorities Letter

Now with nearly three decades of legal experience, Sylvia M. Scott joined Freeman, Freeman & Smiley, LLP, in 2005. As a partner, Sylvia M. Scott leads the firm’s Securities Practice Group, working with brokers and investment advisors in regulatory enforcement matters. 133 more words

Sylvia M Scott