SEC OKs FINRA’s New Supervisory Rules
The SEC has approved FINRA's new consolidated rules governing supervision as well as guidance on email reviews.
Top 7 Cybersecurity Trends in Financial Services: 2014
Cyberthreats are the new normal for financial services firms, even midlevel wealth managers, Booz Allen says.
9 Financial Firms With Most Improved Reputations
Financial firms’ reputations are regaining traction after the financial crisis, but they have a long way to go, according to Makovsky, an independent communications firm.
FINRA Updates Guidance on Communications With Public
FINRA released in early January an updated set of questions and answers on its new rule on communications with the public.
Resolved: FINRA Should Review These 10 Outdated Rules
FINRA should heed the advice of a recent GAO report and revisit these rules, which the authors humbly suggest either no longer work as intended, or have effectively been replaced by other rules or guidance.
In response to the GAO recommendation,
Madoff 'Feeder Fund' Settlement Reached
Irving Picard, trustee for the SIPA liquidation of Bernie Madoff's firm, announced Thursday that he had reached a $1 billion settlement with Madoff 'feeder funds.'