News & Commentary on Financial Regulatory and Compliance Matters
General Session Panel Highlights
One-on-One with SEC Chairman Jay Clayton and SIFMA President & CEO Kenneth E. Bentsen, Jr.
The conference began with a one-on-one discussion with SEC Commissioner Clayton.
Continue Reading SIFMA C&L 2018 Annual Seminar Summary
As it does every January, FINRA released its annual Regulatory and Examinations Priorities Letter identifying areas of examination focus for the coming year, recurring challenges faced by firms, and possible…
Continue Reading FINRA Releases 2018 Annual Regulatory and Examinations Priorities
On Jan. 4, 2017, FINRA released its 12th annual Regulatory and Examination Priorities Letter in which it identifies its areas of examination focus for 2017, recurring challenges faced by firms,…
Continue Reading FINRA’s 2017 Annual Regulatory and Examination Priorities
