Monthly Regulatory Summary (February 2022)
Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and ...
Securities and Exchange Commission
Monthly Regulatory Summary (July 2022)
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...
News Update: SEC Approves FINRA Rules Change
In an order dated July 30, 2021, the SEC approved the adoption of new FINRA Rule 4111 and Rule 9561 and the amendment of Rule 9559. FINRA has extended the effective date for the proposed rule ...
Monthly Regulatory Summary (August 2022)
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...
SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
On September 27, 2022, the SEC announced charges against 15 broker-dealers and one investment adviser for pervasive and longstanding failures to maintain and preserve electronic communications. ...
Monthly Regulatory Summary (April 2022)
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...
S.E.C. Investigating Whether Coinbase Misstated Its User Numbers
The inquiry continued even after the commission dropped a lawsuit accusing Coinbase of illegally marketing digital currencies to the public.
Tesla Board Chair Robyn Denholm Made $198 Million Selling Stock as Profit Fell
In March, after a steep decline in Tesla’s share price, Elon Musk told employees, “Hang on to your stock.”The chair of Tesla’s board, Robyn Denholm, has not heeded his advice. Ms. Denholm has made ...
Regulation Best Interest – Compliance Risk Concepts
On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the ...
The Impact of Reg BI with Mitch Avnet: CEO and Managing Partner of Compliance Risk Concepts.
On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the ...
News Update: SEC Issues Statement Regarding Digital Assets
Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued a joint statement in conjunction with FINRA’s general counsel addressing various elements of ...
News Update: SEC Fines 27 Firms for Form CRS Failures
The Securities and Exchange Commission announced on July 26th that 21 investment advisers and 6 broker-dealers have agreed to settle charges that they failed to timely file and deliver their ...
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