The Financial Industry and Regulatory Authority (FINRA) announced that it has fined Cantor Fitzgerald & Co. (Cantor) $2 million for Regulation SHO (Reg SHO) violations and supervisory failures spanning a … Continue reading Cantor Fitzgerald Fined $2 Million by FINRA for Regulation SHO Violations and Supervisory Failures
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 Half-Day Boot Camp – New York – District 10
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: Cybersecurity and Supervision
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 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 Suitability
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 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 Branch Office Inspections