跟踪 Management Contact Address About Financial Industry Regulatory Authority In the United States, the Financial Industry Regulatory Authority, Inc. (FINRA) is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Deal...
New account identity validation. Ineffective processes and tools for validating the identity of customers opening new accounts or detecting suspicious activity associated with the opening of new accounts (such as multiple new accounts opened from the same IP address). ...
Financial Industry Regulatory Authority (FINRA) in 2008. According to the article, the proposal that would consolidate and revise rules on supervision and supervisory controls of the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE). It notes that the proposal...
Such notice shall be signed and dated and concisely and clearly set forth the basis for the objection and be addressed to the Vice President, New York State Energy Research and Development Authority, at the notice address set forth in Exhibit B to this Agreement. The Vice President of NYSERDA...
“Ms. Venniro is pleased to resolve the matter and be able to continue serving as a trusted investment advisor to her long-standing clients,” Robert Knuts of Sher Tremonte in New York, who represented Venniro in the settlement, said in a statement. ...
Stay informed on the SEC’s proposed rule that would require broker-dealers and other market participants to establish, maintain, and enforce written policies and procedures reasonably designed to address cybersecurity risks and provide the SEC with immediate written el...
TRACE Dissemination of Agency Debt Securities–The Board also approved proposed amendments to Trade Reporting and Compliance Engine (TRACE) rules to expand the definition of Agency Debt Security to address a new issuance structure by government-sponsored enterprises and modify dissemination protocols to ap...
Finra said that Best intended to address a large cash position that accumulated in the client’s account as her bond portfolio matured. He initially refrained from placing trades in the account after he became aware of her Alzheimer’s diagnosis in 2014 and instead sought to have a relativ...
Has your firm reviewed its Books and Records rule policies and procedures to confirm they address all vendors? While books and records requirements do not call out individual communications tools, it is more important than ever that firms capture, archive and index new communications for quick searc...
16We understand that the intent of the aforesaid FAQ under the (k)(2)(i) exemption, that a firm need not maintain an EBOC account, is to address certain SEC letters/guidance that a firm may operate under the (k)(2)(i) exemption without an EBOC account where...