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Category: Regulatory Briefs

4 Jan 2021

December 9, 2020 -FINRA Board of Governors Meeting

Sean ReddyBoard Meeting, FINRA, FINRA Compliance Training

FINRA’s Board of Governors met via...

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1 Dec 2020

SEC Risk Alert – Investment Adviser Compliance Programs

Jon Hurd

On November 19, 2020, the  Securities...

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16 Nov 2020

SEC Risk Alert – Supervision, Compliance and Multiple Branch Offices

Jon Hurd

On November 9, 2020, the Securities...

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22 Oct 2020

FINRA Disciplinary Action: October 2020

Abbey Mirelli

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

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8 Oct 2020

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

Sean ReddyCyber, FINRA, FINRA compliance consultants

FINRA released a regulatory notice warning...

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23 Sep 2020

SEC Files $1 Million DollarFraud Complaint Against Advisor

Frank MartoranaFINRA Compliance Training, FINRA Disciplinary Actions, fraud, SEC, SEC Risk Alert

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

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18 Sep 2020

SEC Warns of Rise in ‘Credential Stuffing’ Cyberattacks

Olivia Scuteri

The SEC’s Office of Compliance Inspections...

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14 Sep 2020

Protecting Senior Investors

Abbey Mirelli

On September 1, 2020 the Securities...

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9 Sep 2020

FINRA Disciplinary Action: August 2020

Sean ReddyAugust, Compliance, FINRA compliance consultants, FINRA Disciplinary Actions, Regulatory Brief

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

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1 Sep 2020

SEC Expands Accredited Investor Definition

Sean Reddyaccredited investor, Anti-money laundering test, Private Equities, SEC, SEC Risk Alert

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

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31 Aug 2020

Anti-Money Laundering Violations – Get Ready to Pay

Jenna Beekman

Pursuant to FINRA Rule 3110, member...

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18 Aug 2020

Virtual Business Entertainment

Abbey MirelliBroker Dealer Compliance, FINRA compliance consultants, FINRA Compliance Training, Investment Banking Compliance

FINRA Rule 3220 sets strict limits...

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7 Aug 2020

SEC Charges South Florida Spouses with $500M Scam

Sean ReddyAML, Anti Money Laundering, Broker Dealer Compliance, Broker dealer compliance consultants, Compliance, FINRA compliance consultants, Funding, SEC

The Securities and Exchange Commission (SEC)...

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22 Jul 2020

Increase in Electronic Communication Disciplinary Actions

Jenna BeekmanBroker Dealer Compliance, Broker dealer compliance consulting firms, Broker dealer compliance services, FINRA compliance consultants, FINRA Compliance Training

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

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22 Jul 2020

SEC Charges App Developers for Unregistered Security-Based Swap Transactions

Sean ReddyAdvisers Act, Anti-money laundering test, Broker Dealer Compliance, Broker dealer compliance consultants, FINRA compliance consultants, FINRA Compliance Training

Abra, a California-based trading app, and...

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22 Jul 2020

Cybersecurity: Ransomware Alert

Abbey MirelliAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consulting firms, Broker Dealer Compliance Requirements, FINRA compliance consultants, Outsourced compliance officer

The U.S Securities and Exchange Commission...

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24 Jun 2020

ThinkAdvisor Article: “CCO Hit by FINRA for Business Email Infractions”

Olivia ScuteriAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consultants, Broker dealer compliance consulting firms, Broker dealer compliance services, Broker Dealer Continuing Education, FINRA compliance consultants

ThinkAdvisor published an article on June...

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7 May 2020

April 2020 FINRA Disciplinary Actions

Olivia ScuteriAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance consultants, Broker dealer compliance services, FINRA compliance consultants, Investment Banking Compliance

FINRA disciplinary actions taken against firms...

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9 Mar 2020

FINRA Regulatory Notice 20-05

Jenna Beekman

Read our Regulatory Brief on the...

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28 Jan 2020

Regulation Best Interest

Eden Turner

Read our Regulatory Brief on Regulation...

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Our Team

  • Jonathan Hurd, CAMS
  • Eden Turner, CAMS
  • Olivia Scuteri
  • Jenna Beekman
  • Sean Reddy
  • Abbey Mirelli

Asgard Regulatory Group, LLC.

3900 Veterans Memorial Highway
Suite 360, Bohemia, NY 11716

Contact Us:

(631) 801-2900

Email Us:

Email: inquire@asgardcompliance.com

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