How To Ensure FINRA Compliance & SEC 17a-4 Record Retention
How To Ensure FINRA Compliance & SEC 17a-4 Record Retention
Mar 20, 2024
jatheon.com
We have launched FINRA Forward, a series of initiatives to further improve our effectiveness and efficiency in pursuing our mission. FINRA Forward addresses how we can best fulfill our mission of protecting investors, safeguarding market integrity, and promoting market confidence. The future begins now, with targeted initiatives to modernize regulations, enhance industry compliance, and strengthen protections against cyber threats. Learn more below and read about FINRA Forward in CEO Robert Cook
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We have launched FINRA Forward, a series of initiatives to further impr…
818 views8 months ago
FacebookFINRA
In November 2022, FINRA launched a targeted exam to review the practices of certain member firms when it comes to communicating with retail investors regarding crypto products and services. Hear from Advertising Regulation's Ira Gluck, as they share the results of that crypto asset communications sweep on the latest #FINRAUnscripted.  https://bit.ly/47OMLIe | FINRA | Facebook
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In November 2022, FINRA launched a targeted exam to review the prac…
2K views3 weeks ago
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Just dropped!  Listen to our latest #FINRAUnscripted episode where we delve into the cyber threat landscape and what firms should be thinking about with our Complex Investigations and Intelligence Team. Don't miss out, listen here  https://bit.ly/3TL2OBQ | FINRA | Facebook
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Just dropped!  Listen to our latest #FINRAUnscripted episode where …
2K views2 weeks ago
FacebookFINRA
FINRA's new Machine-Readable Rulebook is designed to enhance firms' compliance efforts, reduce costs and aid in risk management, with a lot to gain for firms of all sizes and various business models. On the latest #FINRAUnscripted episode, Afshin Atabaki, Associate General Counsel, and Haime Workie, VP of our Office of Financial Innovation, delve into what exactly the Machine-Readable Rulebook is, how it works, and how you can start taking advantage of all it has to offer. Listen here 🎧 https:/
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FINRA's new Machine-Readable Rulebook is designed to enhance …
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