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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 19-14
    2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
  • Regulatory Notice 19-13
    Summary The Securities and Exchange Commission (SEC) approved a proposed rule change to amend FINRA Rule 4512 (Customer Account Information) to permit the use of electronic signatures for discretionary accounts and to clarify the scope of the rule. These changes become effective on May 6, 2019. The text of the amended rule is set forth in […]
  • Regulatory Notice 19-12
    Summary
  • Regulatory Notice 19-11
    FINRA Announces Update of the Interpretations of Financial and Operational Rules

RSS SEC Press Releases

  • SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019
    The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago. The program is designed to provide an open forum for regulators and industry professionals including compliance, internal audit, and other senior personnel of broker-dealer firms […]
  • Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management
    The Securities and Exchange Commission today announced that Sara Cortes and David P. Bartels have been named Deputy Chief Counsels of the Division of Investment Management. As Deputy Chief Counsels, Ms. Cortes and Mr. Bartels will join a leadership team and staff that are responsible for responding to requests for legal and policy guidance, evaluating […]
  • SEC Charges Former Woodbridge Directors of Investment With Fraud
    The Securities and Exchange Commission today charged two former directors of investments at Woodbridge Group of Companies LLC for their roles in its massive Ponzi scheme. The defendants, California-based Ivan Acevedo and Dane R. Roseman, were separately arrested and charged by criminal authorities, along with Woodbridge owner Robert H. Shapiro.  The SEC previously charged Woodbridge and Shapiro, and Woodbridge’s highest-earning unregistered brokers. In […]

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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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