United States: Through The Issuance Of New Rules Aimed At Recidivist Brokers And The Firms That Hire Them, FINRA Loudly Exclaims To Its Membership "Can You Hear Me Now???" - Bryan Cave Leighton Paisner LLP

Mondaq

13 May 2021 0 shares 1 views

Mondaq

Published 13 May 2021

After years of warning firms of the need for enhanced diligence in retaining or hiring brokers with a significant history of misconduct

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United States: FINRA Reminds Broker-Dealers Of Their Obligations To Safeguard Customer Information And To Build Controls Designed To Protect Customers From Fraud - Bryan Cave Leighton Paisner LLP

Mondaq 31 May 2021

According to FINRA, the number of reported instances involving broker-dealer fraudulent account takeovers (ATO) and related theft..