FINRA collated SEC staff bulletins and FINRA resources to improve member compliance with Regulation Best Interest.
News & Insights
19 News Results
The SEC sued an investment advisory firm and its principal for operating a multi-year cherry-picking scheme.
NFA reminded firms that the CFTC requires any CPO that claims an exemption from registration to file a notice of exemption by March 1, 2022.
NFA provided guidance on annual affirmation obligations for CPOs and CTAs that are exempt from CFTC registration.
The Treasury Department urged financial institutions to be on alert for malicious or fraudulent transactions, and to notify FinCEN of any potential delays in submitting Suspicious Activity Reports.