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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 20-03
    Summary In November 2017, FINRA launched a retrospective review of Rule 5250 (Payments for Market Making), which generally prohibits members from receiving payments for market making, to assess its effectiveness and efficiency.1 The review is part of an ongoing initiative to periodically look back at a rule or set of rules to ensure they remain relevant […]
  • Regulatory Notice 20-02
    Summary FINRA is conducting a retrospective review of Rule 4530 (Reporting Requirements) to assess its effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule. Questions concerning this Notice should be directed to:
  • Regulatory Notice 20-01
    Executive Summary FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in Web CRD/IARD for the annual registration renewal process. The payment deadline is January 17, 2020. Please direct questions concerning this Notice to the FINRA […]
  • Election Notice – 12/19/19
    Executive Summary FINRA recently held annual elections to fill vacancies on its Regional Committees, Small Firm Advisory Committee (SFAC) and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also selected individuals to fill several appointed seats on the SFAC and NAC. This Notice lists the individuals […]

RSS SEC Press Releases

  • SEC Files Charges Against Scheme to Sell Fictitious Interests in Marijuana Company
    The Securities and Exchange Commission today announced charges against Guy S. Griffithe and Robert W. Russell, and three companies they controlled, for an alleged scheme that defrauded investors who thought they were purchasing interests in a Washington-…
  • SEC to Report on State of Small Business Capital Formation in the U.S.
    The U.S. Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation will report on its findings regarding the state of capital formation for small businesses and its latest recommendations to the Commission during a…
  • SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity
    The Securities and Exchange Commission today charged convicted criminal Boaz Manor, his business associate, and two businesses, CG Blockchain Inc. and BCT Inc. SEZC, with raising over $30 million from hundreds of investors in a fraudulent initial coin…

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