Regulatory Briefs Archives - Asgard Regulatory Group, LLC

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...

22 Jul 2020

SEC Charges App Developers for Unregistered Security-Based Swap Transactions

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

22 Jul 2020

Cybersecurity: Ransomware Alert

The U.S Securities and Exchange Commission...

24 Jun 2020

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

ThinkAdvisor published an article on June...

7 May 2020

April 2020 FINRA Disciplinary Actions

FINRA disciplinary actions taken against firms...

9 Mar 2020

FINRA Regulatory Notice 20-05

Read our Regulatory Brief on the...

28 Jan 2020

Regulation Best Interest

Read our Regulatory Brief on Regulation...

Category: Regulatory Briefs

December 9, 2020 -FINRA Board of Governors Meeting

SEC Risk Alert – Investment Adviser Compliance Programs

SEC Risk Alert – Supervision, Compliance and Multiple Branch Offices

FINRA Disciplinary Action: October 2020

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

SEC Files $1 Million DollarFraud Complaint Against Advisor

SEC Warns of Rise in ‘Credential Stuffing’ Cyberattacks

Protecting Senior Investors

FINRA Disciplinary Action: August 2020

SEC Expands Accredited Investor Definition

Anti-Money Laundering Violations – Get Ready to Pay

Virtual Business Entertainment

SEC Charges South Florida Spouses with $500M Scam

Increase in Electronic Communication Disciplinary Actions

SEC Charges App Developers for Unregistered Security-Based Swap Transactions

Cybersecurity: Ransomware Alert

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

April 2020 FINRA Disciplinary Actions

FINRA Regulatory Notice 20-05

Regulation Best Interest

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