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SEC 2024 Broker-Dealer Examination Priorities
Compliance Enforcement Investors

SEC Expands Trading Bans for Staff

The SEC has recently announced a significant overhaul of its ethics rules. These changes, designed to fortify and update the SEC’s ethics compliance framework, expands the prohibited securities transactions for the Staff and their families Strengthening the SEC’s Ethical Framework At the heart of this initiative is the collaborative effort […]

finra broker check
Primer

FINRA Broker Check

Broker Check was designed as an attempt at transparency and accountability in the world of investments, offering investors a powerful tool to research and evaluate the background and qualifications of brokers and brokerage firms. Often criticized as an invasion of brokers’ rights, containing unsworn and unproven allegations against financial professionals, […]

Securities and Exchange Commission
Compliance

The Securities and Exchange Commission

If you are involved in the financial industry, understanding the role and functions of the Securities and Exchange Commission (SEC) is paramount. Established to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation, the SEC plays a pivotal role in the financial landscape. Let’s delve deeper into […]