New Hire Roundup: SEC Names Pollock L.A. Exam Chief
Meanwhile, wealth advisory firm Presidio Group opens a new Washington office.
Hearsay Social Streamlines Social Media Compliance Platform
Hearsay Social says it’s made its social profile review, pre-approval features and automatic publishing solutions more efficient.
BDs’ Comments Lead FINRA to Update Communication, Gift Rules
BDs request further guidance, updates on the two rules; FINRA's retrospective review process is ongoing.
SIFMA Chief Slams CARDS Plan
At a press briefing, SIFMA President and CEO Ken Bentsen Jr. didn't mince words when it came to FINRA's controversial data collection plan.
FINRA Responds to SIFMA's Latest Critiques of Proposed Data System
Industry trade groups raise fresh concerns with latest plan to collect broker-dealer account data through Comprehensive Automated Risk Data System.
GOP Blasts User Fees Plan, Tells SEC to Boost Exams Now
Reps. Hensarling and Garrett give SEC Chairwoman White a Dec. 5 deadline to detail how agency will reallocate resources.
Citigroup to Pay $15M FINRA Fine Over Research Leaks
Analysts' violations included illicitly helping issuers prep for road shows and hosting "idea dinners" discussing stock picks with certain clients.
Fines imposed by the Financial Industry Regulatory Authority in 2014 are poised to far outpace those reported by the regulator in 2013, according to an analysis released Aug. 1 by the law firm Sutherland Asbill & Brennan.
SEC Fines Wedbush $2.4M in Market Access Case; FINRA Complaint on Deck
Los Angeles-based Wedbush Securities and two top officials agreed to settle a pending SEC case for market access violations.
New Hire Roundup: John Mendez Nominated to Be SIPC Chairman
In another personnel move, Craig Anzlovar has joined Pioneer Investments as fixed income client portfolio manager.