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FINRA 2018 Priorities Letter
  • Venable LLP
  • USA
  • February 26 2018

In January, FINRA released its annual Regulatory and Examinations Priorities Letter. As with prior editions, the letter explains the areas of risk and


FINRA 2017 Priorities Letter
  • Venable LLP
  • USA
  • January 24 2017

Last week, FINRA released its annual Regulatory and Examinations Priorities Letter. As with prior editions, the letter highlights the areas of risk


Coalescing Themes: The SEC Echoes FINRA's Focus on Culture
  • Venable LLP
  • USA
  • August 9 2016

On the heels of FINRA's firm culture survey, Gary Barnett, the Deputy Director of the SEC's Division of Trading and Markets, echoed FINRA Chairman


Defining Culture: Can Firm Culture Be Regulated?
  • Venable LLP
  • USA
  • July 12 2016

Culture is defined as a way of thinking, behaving, or working that exists in a place or organization (such as a business). Firm culture has long been


Anti-Money Laundering: FINRA Walks the Talk
  • Venable LLP
  • USA
  • June 2 2016

On April 5, 2016, Brad Bennett, FINRA's EVP, Enforcement, delivered a thoughtful, serious speech to the audience at the Securities Industry and


FINRA 2016 Priorities Letter
  • Venable LLP
  • USA
  • March 3 2016

Earlier this year, FINRA released its eleventh annual Regulatory and Examinations Priorities Letter. As with prior editions, the purpose of the


SEC and FINRA cybersecurity reports highlight cybersecurity as a new compliance priority
  • Venable LLP
  • USA
  • February 24 2015

On February 3, 2015, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) released reports


FINRA 2015 priorities letter
  • Venable LLP
  • USA
  • January 27 2015

On January 6, 2015, the Financial Industry Regulatory Authority (FINRA) released its 2015 Regulatory and Examinations Priorities Letter. This is the


Compliance officer liability: FinCEN and regulators increase the pressure
  • Venable LLP
  • USA
  • January 15 2015

On December 18, 2014, the Financial Crimes Enforcement Network (FinCEN) - responsible for enforcing U.S. anti-money laundering (AML) laws - fired a


FINRA ends 2014 with an enforcement bang
  • Venable LLP
  • USA
  • January 5 2015

The Financial Industry Regulatory Authority (FINRA) ended 2014 with a bang, finalizing three notable enforcement actions in December (along with