2021 SEC Examination Priorities for Securities Industry Registrants
The Division of Examinations (the Division) (formerly known as the Office of Compliance Inspections and Examinations, or OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual...
View Article2022 Report on FINRA’s Examination and Risk Monitoring Program
On Feb. 9, 2022, the Financial Industry Regulatory Authority (FINRA) released its 2022 Report on FINRA’s Examination and Risk Monitoring Program (Report), in which it identifies its areas of...
View ArticleSEC Seeks to Expand ‘Dealer’ or ‘Government Securities Dealer’ Definition to...
On March 28, 2022, the Securities Exchange Commission (SEC) issued a press release regarding two proposed rules, Rules 3a5-4 and 3a44-2 under the Securities Exchange Act of 1934 (the Act). These...
View ArticleFINRA Releases Updated Guidelines and Sanctions for Securities Rule Violations
On Sept. 29, 2022, the Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 22-20, alerting members to changes to the Sanctions Guidelines (Guidelines), effective immediately. The...
View ArticleFINRA Targeting Crypto Asset Retail Communications
The Financial Industry Regulatory Authority (FINRA) in November 2022 released a targeted exam letter pertaining to communications for crypto products and services. The relevant period for this exam is...
View ArticleFINRA Files Amendments to Proposed Rule Change That Will Allow Remote...
Last summer, the Financial Regulatory Authority (FINRA) proposed a rule change to its supervision rule (FINRA Rule 3110) to allow member firms to conduct remote inspections of some or all branch...
View Article2023 Report on FINRA’s Examination and Risk Monitoring Program
On Jan. 10, 2023, the Financial Regulatory Authority (FINRA) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (“Report”) in which it identifies the year’s areas of...
View ArticleFINRA Approves Prometheum Ember Capital LLC to Operate as Special Purpose...
On May 17, 2023, Prometheum Ember Capital LLC (Prometheum Ember Capital), a subsidiary of Prometheum Inc., received approval from the Financial Industry Regulatory Authority (FINRA) to operate as a...
View ArticleNov. 2 EVENT | Selecting an EB-5 Investment Project
Join GT Shareholders Kate Kalmykov and William Mack, along with America EB-5 Visa, LLC’s CEO Marko Issever, for an informative discussion about targeted investment with a FINRA-licensed broker-dealer....
View ArticleSEC Expands Dealer Registration Requirements
On Feb. 6, 2024, the U.S. Securities and Exchange Commission (SEC) adopted new Rules 3a5-44 and 3a44-2 (the final rules) under the Securities Exchange Act of 1934 (the Exchange Act), which require...
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