To minimize the potential for a conflict of interest with former FINRA employees representing persons to the Financial Industry Regulatory Authority (“FINRA”), FINRA is filing a proposed rule to prohibit: Any … Continue reading FINRA Employees to be Subject to New Post-Employment Conflict of Interest Rule
The Securities and Exchange Commission (the “SEC”) continues to pay close attention to the conflicts of interest that can exist in broker/dealers and investment advisory firms that share financial professionals … Continue reading Conflicts of Interest and Dual Registrants
Guggenheim Partners Investment Management LLC agreed to pay a $20 million penalty to settle charges brought by the Securities and Exchange Commission (SEC) that it breached its fiduciary duty by … Continue reading Guggenheim Partners Sanctioned for Failure to Disclose Conflict to Clients
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending … Continue reading FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending … Continue reading FINRA Boot Camp: Supervision and Managing Conflicts of Interest
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending … Continue reading FINRA Boot Camp: Suitability and Managing Conflicts of Interest
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending … Continue reading FINRA Boot Camp: Managing Conflicts of Interest and Branch Office Inspections