Tags » Financial Industry Regulatory Authority

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

2016 FINRA Regulatory and Examinations Priorities Letter

A partner at Freeman, Freeman, and Smiley, LLP, Sylvia Scott is an attorney based in Los Angeles, California. Recognized in 2015 as a South California Super Lawyer, Sylvia Scott advises clients on how to follow the… 195 more words

Sylvia M Scott

Financial Industry Regulatory Authority Holds Annual Conference in May

A biotechnology and pharmaceutical finance professional, Steve Kanzer serves as the chairman and CEO of Accredited Ventures, Inc. in New York, New York. Steve Kanzer is also a member of the… 196 more words

Steve Kanzer

An Overview of the Series 7 and 63 Licenses

A banker serving one of the world’s largest financial institutions, Jeffrey Bracchitta possesses expertise in corporate finance and investments. A 14-year veteran of the industry, Jeffrey Bracchitta holds a… 135 more words

Jeffrey Bracchitta

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