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Compliance Watch

May 24, 2019


Reg BI Is Epic Moment for Brokerage Industry: FINRA’s Legal Chief

By Melanie Waddell

With Reg BI, the SEC is "trying to save the broker-dealer business as we know it,” said FINRA's chief legal officer. Read More


The 10 Biggest Political Spenders on Wall Street

By Melanie Waddell

These firms spent the most on lobbying and campaign contributions in the last election cycle. Read More


FINRA Pushing Ahead on CAT, Rule Review: CEO Cook

At FINRA's annual conference, execs discussed which rules are being reviewed and gave an update on exam consolidation. Read More


SEC Prevails in High-Yield Securities Case

By Elizabeth Festa

The case against a New York brokerage centered on misleading investors on the value of high-yield securities. Read More


FINRA Bad Broker Rule Would Hit Less Than 2% of Firms

By Melanie Waddell

It would identify firms “that have a cluster of brokers with a high level of misconduct,” FINRA's Cook said. Read More


SEC Delays Decision on Bitwise Bitcoin ETF Again

By Bernice Napach

The SEC is again seeking comment on the proposal, this time in answers to 14 questions. Read More


The Benefits of Owning Municipal Bonds

Sponsored by: Gurtin Municipal Bond Management, a PIMCO company

If your clients aren’t already investing in municipal bonds, it might be time to start. Use this tool to show them the potential of this type of investment vehicle. Learn More

How to Build Trust & Deepen the Conversation with Investor Clients

Join this complimentary webcast on May 30 to learn how to best develop a strategy for your client experience that results in a tailored approach ultimately building trust and deepening your conversations with clients. Learn More

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