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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 19-29
    Summary Pursuant to rule amendments that will become effective on November 4, 2019, FINRA will expand the summary firm data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website by publishing:
  • Election Notice – 9/4/19
    Summary The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA […]
  • Election Notice – 9/4/19
    Summary The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. One seat on the SFAC is up for election, representing the New York region.
  • Election Notice – 8/20/19
    Summary The purpose of this Election Notice is to notify members of an upcoming election to fill one large firm and one mid-size firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies.

RSS SEC Press Releases

  • SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants
    The Securities and Exchange Commission today announced that it has proposed rules to update the statistical disclosures that bank and savings and loan registrants provide to investors, and eliminate disclosures that overlap with Commission rules, U.S.…
  • Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors
    The Securities and Exchange Commission today instituted a settled order against three Raymond James entities for improperly charging advisory fees on inactive retail client accounts and charging excess commissions for brokerage customer investments in…
  • Two Broker-Dealers to Pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data
    The Securities and Exchange Commission today announced that Stifel, Nicolaus & Co., Inc. has agreed to pay $2.7 million and BMO Capital Markets Corp. has agreed to pay $1.95 million to settle charges for providing incomplete and inaccurate…

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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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