Events & News

CFTC Announces Examination Priorities

For the first time, the Division of Market Oversight (DMO) for the CFTC has published its exam priorities for 2019. The exams conducted by the Compliance Branch will target specific elements of a designated contract markets’s (DCM’s) self-regulatory program with…

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Broker Dealers: Update Compliance Program

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…

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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…

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