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Tag: FINRA

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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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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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

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