No Rules Yet, but Prepare Now
Regulatory issues that aren't getting the attention they need, argues MarketCounsel CEO Brian Hamburger.
FINRA’s 5 Biggest Fine Categories in First Half of 2015
FINRA is on track to impose $75 million in fines this year, the second most since the financial crisis.
SEC to Start Second Round of Cyber Exams, Issues Risk Alert
"All firms should carefully review this alert to see how they would answer these questions," says Brian Rubin of the law firm Sutherland.
BDs Increasing Protection Against Cyber Breaches, Survey Finds
'Some firms have been the subject of benign incidents but haven’t realized it yet,' says Sutherland's Rubin.
FINRA’s 5 Biggest Fine Categories in 2014
FINRA fines more than doubled in 2014 even as the regulator filed fewer cases, according to the law firm Sutherland Asbill & Brennan.
BDs’ Cybersecurity Stronger Than Advisors’: SEC, FINRA Reports
Both the SEC and FINRA will "likely bring enforcement actions if firms’ policies and procedures are found to be deficient,” warns Sutherland's Brian Rubin.
FINRA’s Top Exam Priorities for 2015
FINRA calls BDs’ failure to put clients first a “recurring challenge” in its 2015 priorities report.
Cybersecurity: What the Regulators May Do
Cybersecurity is going to be “a ‘hot’ regulatory issue for the foreseeable future,” according to the law firm Sutherland.
It Pays to Fight Back Against SEC, FINRA: Survey
Nearly half of advisors, BDs and their reps that litigated got off lighter than they would have if they had settled, a Sutherland study found.
Cybersecurity Enforcement Actions May Have ‘Significant’ Fines: Sutherland
An SEC crackdown on cybersecurity is coming, law firm Sutherland Asbill & Brennan predicts, and the penalties could be steep.