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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 17-25
    SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
  • Election Notice – 7/21/17
    Notice of Annual Meeting of FINRA Firms and Proxy
  • Regulatory Notice 17-24
    FINRA Issues Guidance on the Enhanced Confirmation Disclosure Requirements in Rule 2232 for Corporate and Agency Debt Securities
  • Regulatory Notice 17-23
    SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets

RSS SEC Press Releases

  • Commission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition
    The Securities and Exchange Commission today issued two releases and the SEC staff released a Staff Accounting Bulletin to update interpretive guidance regarding revenue recognition. Consistent with developments in private-sector accounting standard setting, the SEC issued a release to update its guidance for bill-and-hold arrangements by stating that registrants should no longer refer to the criteria […]
  • Banca IMI Securities to Pay $35 Million for Improper Handling of ADRs in Continuing SEC Crackdown
    The Securities and Exchange Commission today announced that broker Banca IMI Securities Corp. (BISC), an indirect, wholly-owned U.S. subsidiary of Italian bank Intesa Sanpaolo SpA, has agreed to pay more than $35 million to settle charges that it violated federal securities laws when it requested the issuance of and received American Depositary Receipts (ADRs) without […]
  • SEC Uncovers Wide-Reaching Insider Trading Scheme
    The Securities and Exchange Commission today announced insider trading charges against seven individuals who generated millions in profits by trading on confidential information about dozens of impending mergers and acquisitions.  Data analysis allowed the SEC’s enforcement staff to uncover the illicit trading despite the traders’ alleged use of shell companies, code words, and an encrypted, […]

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Recent Posts

  • SEC Charges Investment Adviser With Failing to Adopt Proper Cybersecurity Policies and Procedures Prior To Breach
  • Financial and Operational Rules for Capital Access Brokers (“CAB”)
  • Schedule Your 2016 Annual Reviews Now!

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