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Women in Compliance

April 29, 2016 karen

We are excited to announce that our CEO, Karen Steighner, is a member of Women in Compliance.

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RSS FINRA Notices

  • Regulatory Notice 19-36
    Summary Investment professionals often develop close and trusted relationships with their customers, which in some instances have resulted in the investment professional being named the customer’s beneficiary, executor or trustee, or holding a power of attorney or a similar position for the customer. Being a customer’s beneficiary or holding a position of trust may present […]
  • Information Notice – 11/11/19
    Annual Report; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS) Summary To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form […]
  • Regulatory Notice 19-35
    Summary The 2020 Renewal Program begins on November 11, 2019, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms. Firms should note the following key dates in the renewal process:
  • Election Notice – 10/21/19
    Executive Summary The purpose of this Election Notice is notify FINRA small firm members that ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC) have been mailed to all eligible firms. FINRA small firm members1 in the New York Region as of the close of business on Friday, October […]

RSS SEC Press Releases

  • SEC Halts Ponzi scheme Targeting Seniors and Small Business Owners
    The Securities and Exchange Commission today announced that it has filed an emergency action and obtained a temporary restraining order and asset freeze against two individuals and two companies they control in connection with an alleged $6…
  • SEC Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud
    The Securities and Exchange Commission today announced an award to three individuals who jointly submitted a tip alerting the agency to a well-concealed fraud targeting retail investors.  The information led to a successful enforcement action.…
  • Marie-Louise Huth Named Chief Counsel in Division of Economic and Risk Analysis
    The Securities and Exchange Commission today named Marie-Louise (Malou) Huth as Chief Counsel for the Division of Economic and Risk Analysis (DERA).   Ms. Huth will lead DERA’s Office of the Chief Counsel, which provides guidance to the…

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  • IA’s: 2019 Rule 206(4)-7 Annual Review Due NOW
  • Time to Schedule your 1Q19 Rule 3120 Annual Review & 3130 Certification
  • Cybersecurity: Taming the Lion

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