To minimize the potential for a conflict of interest with former FINRA employees representing persons to the Financial Industry Regulatory Authority (“FINRA”), FINRA is filing a proposed rule to prohibit: Any former officer of FINRA from making certain communications to or appearances before FINRA for one year. Former FINRA employees from making certain communications to or … Continue reading FINRA Employees to be Subject to New Post-Employment Conflict of Interest Rule →
The Securities and Exchange Commission (the “SEC”) continues to pay close attention to the conflicts of interest that can exist in broker/dealers and investment advisory firms that share financial professionals and dually registered firms. In the Staff Report issued by the SEC on January 21, 2011, the SEC principally based its advocacy for a uniform regulatory … Continue reading Conflicts of Interest and Dual Registrants →
Guggenheim Partners Investment Management LLC agreed to pay a $20 million penalty to settle charges brought by the Securities and Exchange Commission (SEC) that it breached its fiduciary duty by failing to disclose a $50 million loan that one of its senior executives received from an advisory client. According to the SEC’s order instituting a … Continue reading Guggenheim Partners Sanctioned for Failure to Disclose Conflict to Clients →
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Supervision and Managing Conflicts of Interest →
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections →
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Suitability and Managing Conflicts of Interest →
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to … Continue reading FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections →
