Regulatory Briefs Archives - Asgard Regulatory Group, LLC

9 Apr 2021

FINRA’s March 2021 Disciplinary Actions

Firm Fined Wealthforge Securities, LLC Wealthforge...

8 Mar 2021

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

In February 2021, FINRA replaced two...

8 Feb 2021

SEC Charges Three Individuals in Digital Asset Frauds

On February 1st, 2021 the Securities...

3 Feb 2021

BROKER/DEALER COMPLIANCE OFFICERS FACE SURGING PERSONAL LIABILITY RISKS

Since the start of the pandemic,...

3 Feb 2021

FinCEN January News Update

The Financial Crimes Enforcement Network (“FinCEN”)...

4 Jan 2021

December 9, 2020 -FINRA Board of Governors Meeting

FINRA’s Board of Governors met via...

1 Dec 2020

SEC Risk Alert – Investment Adviser Compliance Programs

On November 19, 2020, the Securities...

16 Nov 2020

SEC Risk Alert – Supervision, Compliance and Multiple Branch Offices

On November 9, 2020, the Securities...

22 Oct 2020

FINRA Disciplinary Action: October 2020

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

8 Oct 2020

Regulatory Notice 20-35 –FINRA Alerts Firms to Phishing Email Requesting Them to Respond to Fraudulent Survey

FINRA released a regulatory notice warning...

23 Sep 2020

SEC Files $1 Million DollarFraud Complaint Against Advisor

The Securities and Exchange Commission (“SEC”)...

18 Sep 2020

SEC Warns of Rise in ‘Credential Stuffing’ Cyberattacks

The SEC’s Office of Compliance Inspections...

14 Sep 2020

Protecting Senior Investors

On September 1, 2020 the Securities...

9 Sep 2020

FINRA Disciplinary Action: August 2020

Firms Fined Exane, Inc. Exane, Inc....

1 Sep 2020

SEC Expands Accredited Investor Definition

The Securities and Exchange Commission (“SEC”)...

31 Aug 2020

Anti-Money Laundering Violations – Get Ready to Pay

Pursuant to FINRA Rule 3110, member...

18 Aug 2020

Virtual Business Entertainment

FINRA Rule 3220 sets strict limits...

7 Aug 2020

SEC Charges South Florida Spouses with $500M Scam

The Securities and Exchange Commission (SEC)...

22 Jul 2020

Increase in Electronic Communication Disciplinary Actions

COVID-19 has impacted the world’s operations...