In order to improve and update Broker Dealer compliance programs, we have put together a brief summary of new and amended FINRA regulations, enforcement actions, and overall regulatory developments that occurred in 2018. 2018 Enforcement Actions FINRA determined that Wedbush…
Events & News
Upcoming Events for Introducing Brokers, Pool Operators, and Commodity Trading Advisors
Save the Dates! Ideal for Introducing Brokers, both new to the industry and seasoned, the National Introducing Broker Association will be hosting their New York Annual Spring Conference on Wednesday, April 10th at the New York Athletic Club. The complete…
Cyberthieves Shouldn’t Pull on SECs Cape
he SEC took action against nine defendants in the regulator’s 2016 Edgar system hacking. “The SEC’s complaint alleges that after hacking the newswire services, Ukrainian hacker Oleksandr Leremenko turned his attention to EDGAR and, using deceptive hacking techniques, gained access…
CFTC Wants the Info on Crypto-Market
CFTC Wants Info on Crypto-Market In December, the CFTC put out a request of information “asking for public feedback on a range of questions related to the underlying technology, opportunities, risks, mechanics, use cases, and markets, related to Ether and…