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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 21-18
    Summary FINRA has received an increasing number of reports regarding customer account takeover (ATO) incidents, which involve bad actors using compromised customer information, such as login credentials (i.e., username and password), to gain unauthorized entry to customers’ online brokerage accounts. To help firms prevent, detect and respond to such attacks, FINRA recently organized roundtable discussions […]
  • Regulatory Notice 21-17
    Summary FINRA is committed to supporting efforts by broker-dealer industry participants to foster diversity, inclusion and equal opportunity.1 FINRA seeks comment on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within […]
  • Special Notice – 4/28/21
    Summary FINRA conducts annual elections to fill positions on its Regional Committees, the Small Firm Advisory Committee (SFAC), the National Adjudicatory Council (NAC)1 and the FINRA Board of Governors (FINRA Board). This Notice provides:
  • Regulatory Notice 21-16
    Summary FINRA reminds member firms about requirements when using predispute arbitration agreements for customer accounts. Where member firms use mandatory arbitration clauses in their customer agreements, FINRA rules establish minimum disclosure requirements regarding the use of such clauses and prohibit predispute arbitration agreements from including conditions that, among other things, limit or contradict FINRA rules. […]

RSS SEC Press Releases

  • SEC Awards Approximately $3.6 Million to Whistleblower
    The Securities and Exchange Commission today announced an award of approximately $3.6 million to a whistleblower whose information and assistance led to a successful SEC enforcement action.  “The whistleblower brought valuable information to the…
  • SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports
    The Securities and Exchange Commission today announced settled charges against GWFS Equities Inc. (GWFS), a Colorado-based registered broker-dealer and affiliate of Great-West Life & Annuity Insurance Company, for violating the federal securities…
  • SEC Awards $22 Million to Two Whistleblowers
    The Securities and Exchange Commission today announced awards totaling approximately $22 million to two whistleblowers whose information and assistance were of crucial importance to successful SEC enforcement actions brought against a financial services…

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  • Form CRS Filing Deadline June 30 May 19, 2020

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