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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

  • Trade Reporting Notice – 6/12/17
    Effective Date for Required Use of TRACE for Treasuries Modifiers
  • Information Notice – 6/9/17
    Summary Effective July 4, 2017, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $21.80 per million dollars in transactions to a new rate of $23.10 per million dollars in transactions.
  • Regulatory Notice 17-22
    FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
  • Regulatory Notice 17-21
    FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online

RSS SEC Press Releases

  • Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance
    The Securities and Exchange Commission today announced that Robert Evans III has been named Deputy Director in the agency’s Division of Corporation Finance. He will join Deputy Director Shelley Parratt as a senior advisor to the division’s director, William H. Hinman.  Most recently, Mr. Evans worked at Shearman & Sterling LLP as a partner in […]
  • Kelly L. Gibson Named as Associate Regional Director for Enforcement in the SEC’s Philadelphia Office
    The Securities and Exchange Commission today announced that Kelly L. Gibson has been named the Associate Regional Director for Enforcement in the SEC’s Philadelphia Office.  Ms. Gibson succeeds G. Jeffrey Boujoukos, who became Regional Director of the SEC’s Philadelphia office in January. Ms. Gibson joined the SEC as a staff attorney in the Enforcement Division […]
  • Kathryn A. Pyszka Named as Associate Regional Director for Enforcement in the SEC’s Chicago Office
    The Securities and Exchange Commission today announced that Kathryn A. Pyszka has been named an Associate Regional Director for Enforcement in the SEC’s Chicago Office.  Ms. Pyszka succeeds Timothy L. Warren, who retired from the SEC in January.  In her new role, Ms. Pyszka will co-lead the Chicago Office’s Enforcement program with Robert Burson, who […]

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  • 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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