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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 20-41
    Summary FINRA has amended its rules to require firms to report time fields in trade reports submitted to a FINRA equity trade reporting facility (or FINRA Facility)1 using the same timestamp granularity that they use when reporting to the Consolidated Audit Trail (CAT). Once the amendments are effective, firms that report time on CAT order […]
  • Information Notice – 12/1/20
    Summary FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of […]
  • Regulatory Notice 20-40
    Summary FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails that include the domain “@invest-finra.org”. FINRA recommends that anyone who clicked on any link or image in the email immediately notify the appropriate individuals in their firm of the incident. The domain of “invest-finra.org” is not connected to FINRA and firms […]
  • Information Notice – 11/24/20
    The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 27, 2020 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options.

RSS SEC Press Releases

  • SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures
    The Securities and Exchange Commission today announced settled charges against The Cheesecake Factory Incorporated for making misleading disclosures about the impact of the COVID-19 pandemic on its business operations and financial condition. The action…
  • SEC Announces New Investor Advisory Committee Members
    The Securities and Exchange Commission today announced the appointment of eight new members to its Investor Advisory Committee. The Committee was established under the Dodd-Frank Wall Street Reform and Consumer Protection Act to, among other things…
  • Nekia Hackworth Jones Named Director of Atlanta Regional Office
    The Securities and Exchange Commission today announced that Nekia Hackworth Jones has been named Director of the Atlanta Regional Office. She will join the SEC next month. A former federal prosecutor, Ms. Jones comes to the SEC from her role as…

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  • Form CRS Filing Deadline June 30 May 19, 2020

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