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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 19-20
    SEC Approves Amendments to Arbitration Codes to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
  • Election Notice – 5/24/19
    Upcoming FINRA Board of Governors Election
  • Regulatory Notice 19-19
    FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019
  • Information Notice 5/10/19
    Summary

RSS SEC Press Releases

  • SEC Names Vanessa Countryman to Lead the Office of the Secretary
    The Securities and Exchange Commission today announced that Vanessa Countryman has been appointed as the agency’s Secretary. The Secretary is responsible for overseeing the administrative aspects of Commission meetings, rulemakings, and procedures.  Ms. Countryman has served as Acting Secretary since March 2019.  Within the SEC, the Office of the Secretary plays a central role in ensuring […]
  • Joint Statement on Opportunistic Strategies in the Credit Derivatives Market
    U.S. Securities and Exchange Commission (SEC) Chairman Jay Clayton, U.S. Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo, and U.K. Financial Conduct Authority (FCA) Chief Executive Andrew Bailey issued the following joint statement regarding the credit derivatives markets: “The continued pursuit of various opportunistic strategies in the credit derivatives markets, including but not limited […]
  • SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers
    The Securities and Exchange Commission took another significant step toward establishing the regulatory regime for security-based swap dealers today by adopting a package of rules and rule amendments under Title VII of the Dodd-Frank Act.  These and other rules previously adopted by the Commission are designed to enhance the risk mitigation practices of firms that […]

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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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