thesecfinramonitor.blogspot.com

The SEC FINRA Monitor

The SEC FINRA Monitor. This blog identifies and discusses new and developing regulatory issues that impact investment advisers, broker-dealers, corporations and individuals who either work in the securities industry or who are impacted by its regulations. Friday, October 7, 2011. Study: Recent Disciplinary Actions Against Chief Compliance Officers. Study reminds CCOs they risk permanently tattooing their reputations for violations. Posted by The SEC FINRA Monitor. Friday, September 30, 2011. FINRA will h...

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The SEC FINRA Monitor. This blog identifies and discusses new and developing regulatory issues that impact investment advisers, broker-dealers, corporations and individuals who either work in the securities industry or who are impacted by its regulations. Friday, October 7, 2011. Study: Recent Disciplinary Actions Against Chief Compliance Officers. Study reminds CCOs they risk permanently tattooing their reputations for violations. Posted by The SEC FINRA Monitor. Friday, September 30, 2011. FINRA will h...

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The SEC FINRA Monitor | thesecfinramonitor.blogspot.com Reviews

https://thesecfinramonitor.blogspot.com

The SEC FINRA Monitor. This blog identifies and discusses new and developing regulatory issues that impact investment advisers, broker-dealers, corporations and individuals who either work in the securities industry or who are impacted by its regulations. Friday, October 7, 2011. Study: Recent Disciplinary Actions Against Chief Compliance Officers. Study reminds CCOs they risk permanently tattooing their reputations for violations. Posted by The SEC FINRA Monitor. Friday, September 30, 2011. FINRA will h...

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thesecfinramonitor.blogspot.com

1

The SEC FINRA Monitor: July 2011

http://thesecfinramonitor.blogspot.com/2011_07_01_archive.html

The SEC FINRA Monitor. This blog identifies and discusses new and developing regulatory issues that impact investment advisers, broker-dealers, corporations and individuals who either work in the securities industry or who are impacted by its regulations. Thursday, July 28, 2011. SEC Report on Examination of Certain Structured Securities Products Sold to Investors. The report can be viewed at http:/ www.sec.gov/news/studies/2011/ssp-study.pdf. Posted by The SEC FINRA Monitor. Monday, July 25, 2011. While...

2

The SEC FINRA Monitor: FINRA WEBINAR TO EXAMINE ENFORCEMENT TRENDS

http://thesecfinramonitor.blogspot.com/2011/09/finra-webinar-to-examine-enforcement.html

The SEC FINRA Monitor. This blog identifies and discusses new and developing regulatory issues that impact investment advisers, broker-dealers, corporations and individuals who either work in the securities industry or who are impacted by its regulations. Monday, September 26, 2011. FINRA WEBINAR TO EXAMINE ENFORCEMENT TRENDS. Http:/ www.finra.org/Industry/Education/OnlineLearning/Webinars/P124216? Utm source=onsite&utm medium=button&utm campaign=enforcement case trends. Posted by The SEC FINRA Monitor.

3

The SEC FINRA Monitor: FINRA Orders Raymond James to Pay $1.69 Million for Charging Unfair Commissions

http://thesecfinramonitor.blogspot.com/2011/09/finra-orders-raymond-james-to-pay-169.html

The SEC FINRA Monitor. This blog identifies and discusses new and developing regulatory issues that impact investment advisers, broker-dealers, corporations and individuals who either work in the securities industry or who are impacted by its regulations. Friday, September 30, 2011. FINRA Orders Raymond James to Pay $1.69 Million for Charging Unfair Commissions. Yet another example of "Fair Prices and Commissions Rule" violation. Http:/ www.finra.org/Newsroom/NewsReleases/2011/P124536.

4

The SEC FINRA Monitor: ENHANCING CCO EFFECTIVENESS: SEVEN THINGS CCOs SHOULD REMEMBER

http://thesecfinramonitor.blogspot.com/2011/08/enhancing-cco-effectiveness-seven.html

The SEC FINRA Monitor. This blog identifies and discusses new and developing regulatory issues that impact investment advisers, broker-dealers, corporations and individuals who either work in the securities industry or who are impacted by its regulations. Thursday, August 25, 2011. ENHANCING CCO EFFECTIVENESS: SEVEN THINGS CCOs SHOULD REMEMBER. As a reminder, periodically, we’ll post rules CCOs should never forget. We follow now with a third rule. Rule Number Three: Communicate your role to your Boss(es).

5

The SEC FINRA Monitor: November 2010

http://thesecfinramonitor.blogspot.com/2010_11_01_archive.html

The SEC FINRA Monitor. This blog identifies and discusses new and developing regulatory issues that impact investment advisers, broker-dealers, corporations and individuals who either work in the securities industry or who are impacted by its regulations. Tuesday, November 30, 2010. Insider trading by accountants, attorneys and other professionals. The SEC's most recent case against a former Deloitte partner continues a long line of such cases. Posted by The SEC FINRA Monitor. Subscribe to: Posts (Atom).

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