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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 20-23
    Summary For the past two years, FINRA has encouraged firms to keep their Risk Monitoring Analyst (formerly known as a “Regulatory Coordinator”) informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital assets, including digital assets that are non-securities.1 FINRA appreciates members’ cooperation with this request […]
  • Election Notice – 7/8/20
    Summary FINRA will conduct its Annual Meeting of firms on Friday, August 7, 2020, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board […]
  • Regulatory Notice 20-22
    Summary FINRA Rule 4210 (Margin Requirements) prescribes requirements governing the extension of credit by members. The FINRA Rule 4210 interpretations provide further guidance regarding application of the rule. This Notice announces, effective immediately, clarifications of interpretations of (1) FINRA Rule 4210(e)(8), which specifies margin requirements for control and restricted securities, and (2) FINRA Rule 4210(f)(5), […]
  • Regulatory Notice 20-21
    Summary This Notice provides guidance to help member firms comply with FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning private placement offerings. Questions concerning this Notice should be directed to:

RSS SEC Press Releases

  • SEC Charges App Developer for Unregistered Security-Based Swap Transactions
    The Securities and Exchange Commission today charged California-based Abra and a related firm in the Philippines for offering and selling security-based swaps to retail investors without registration and for failing to transact those swaps on a…
  • SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today’s Equities Markets
    The Securities and Exchange Commission today announced that it has proposed to amend Form 13F to update the reporting threshold for institutional investment managers and make other targeted changes. The threshold has not been adjusted since the…
  • SEC Issues Agenda for July 16 Special Meeting of the Asset Management Advisory Committee
    The Securities and Exchange Commission today released the agenda for the virtual July 16 special meeting of the Asset Management Advisory Committee (AMAC). AMAC was formed to provide the Commission with a range of perspectives on asset management and…

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  • Form CRS Filing Deadline June 30 May 19, 2020

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