In an annual Regulatory and Examination Priorities Letter, FINRA identified major areas of focus for 2018.
News & Insights
13 News Results
A FINRA hearing panel fined a New York State-based broker-dealer for supervisory failures and misrepresentations to issuers in connection with redemptions of debt securities on behalf of a customer.
The Chief Compliance Officer of MoneyGram International agreed to settle fraud charges brought by FinCEN and the United States Attorney that included failures to develop and implement adequate anti-money laundering programs as required by the Bank Secrecy Act.
FINRA released podcasts that highlight operational risks and market integrity issues outlined in FINRA's 2017 Regulatory and Examination Priorities Letter.
FINRA fined a financial institution for anti-money laundering and supervision violations.