Author: Abbey Mirelli

FINRA – 2021 Report on FINRA’S Examination and Risk Monitoring Program

In February 2021, FINRA replaced two...

SEC Charges Three Individuals in Digital Asset Frauds

On February 1st, 2021 the Securities...

FINRA Disciplinary Action: October 2020

Firms Fined BGC Financial, L.P On...

Protecting Senior Investors

On September 1, 2020 the Securities...

Virtual Business Entertainment

FINRA Rule 3220 sets strict limits...

Cybersecurity: Ransomware Alert

The U.S Securities and Exchange Commission...