WebOn February 28, 2024, the Financial Industry Regulatory Authority, Inc. (FINRA) provided an update on its targeted exam, or Sweep, relating to social media influencers, customer acquisition and related information protection.The Update focused on social media influencers and referral programs as well as firms' privacy obligations and summarized … WebNov 16, 2024 · FINRA has announced that it is conducting a targeted examination of broker-dealer practices related to retail communications about “crypto asset” products and services. As part of this sweep, FINRA is asking broker-dealers for all retail communications that were distributed or made available by a broker-dealer or its affiliates on behalf of the …
FINRA Re-Proposes Work-From-Home Supervisory Locations
WebAug 18, 2024 · The Financial Industry Regulatory Authority (FINRA) announced recently that it is launching an examination sweep probing the supervision, communications and diligence surrounding the opening of … WebNov 8, 2024 · With these regulatory requirements in mind, below are quick summaries of how SEC and FINRA rules apply to various digital communications channels. This … fox sports app apple tv not working
United States: SPACS And Scams: FINRA Announces New Sweep …
Web5 hours ago · FINRA Rule 4530 imposes a regime for reporting certain events to FINRA, including, among other things, compliance issues and other events where a broker-dealer has concluded, or should have reasonably concluded, that a violation of securities or other enumerated law, rule, or regulation of any domestic or foreign regulatory body or SRO … WebOct 6, 2024 · The Financial Industry Regulatory Authority, or Finra, has begun an exam sweep to learn more about how broker-dealers are partnering with social media influencers, as well as their other online practices. Finra published a summary of what its exam letters are targeting in September. WebMar 3, 2024 · Washington D.C., March 3, 2024 —. The Securities and Exchange Commission’s Division of Examinations today announced its 2024 examination priorities, including a greater focus on climate-related risks. The Division will also focus on conflicts of interest for brokers (Regulation Best Interest) and investment advisers (fiduciary duty), … fox sports announcers nfl