How To Ensure FINRA Compliance & SEC 17a-4 Record Retention
How To Ensure FINRA Compliance & SEC 17a-4 Record Retention
May 1, 2020
jatheon.com
We have launched FINRA Forward, a series of initiatives to further improve our effectiveness and efficiency in pursuing our mission. FINRA Forward addresses how we can best fulfill our mission of protecting investors, safeguarding market integrity, and promoting market confidence. The future begins now, with targeted initiatives to modernize regulations, enhance industry compliance, and strengthen protections against cyber threats. Learn more below and read about FINRA Forward in CEO Robert Cook
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We have launched FINRA Forward, a series of initiatives to further impr…
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On the latest episode of #FINRAUnscripted, we meet Bill St. Louis, FINRA's new EVP and Head of Enforcement, to learn more about the man at the helm and what's on the horizon for Enforcement in the new year. Listen here  https://bit.ly/3OA5cts | FINRA | Facebook
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On the latest episode of #FINRAUnscripted, we meet Bill St…
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Don't miss the latest episode of #FINRAUnscripted, where we dive into the 2025 Regulatory Oversight Report with FINRA's regulatory operations leaders. They share key takeaways and insights that are a must-listen for member firms. Tune in as our VP of Member Relations and Education, Kayte Toczylowski, hosts this informative discussion. Listen now  https://bit.ly/3CsuuH9 | FINRA | Facebook
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Don't miss the latest episode of #FINRAUnscripted, where we dive …
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In November 2022, FINRA launched a targeted exam to review the practices of certain member firms when it comes to communicating with retail investors regarding crypto products and services. Hear from Advertising Regulation's Ira Gluck, as they share the results of that crypto asset communications sweep on the latest #FINRAUnscripted.  https://bit.ly/47OMLIe | FINRA | Facebook
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On the latest episode of #FINRAUnscripted, three leaders from FINRA's Exam program join us for a deep dive into how our Examination program works and what firms can expect during routine firm exams. Listen here  https://bit.ly/3JcLpO9 | FINRA | Facebook
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3 comments | On the latest episode of #FINRAUnscripted, we hear from three senior leaders of FINRA's Market Regulation and Transparency Services (MRTS) team on how the team's new structure allows MRTS to be more nimble in addressing and anticipating risks, to better leverage its data and more. Listen here  https://bit.ly/3TILfnx | FINRA | Facebook
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