Broker- Dealer Law Corner

Broker- Dealer Law Corner

Category Archives: Annual Report

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What To Expect When You’re Expecting (An SEC Exam)

Posted in Annual Report, Examination, SEC
Tis the season for announcing the year’s top examination priorities. This week, the SEC released its own examination priorities. Top priorities include: liquidity controls; public pension advisers; product promotion; exchange-traded funds; and variable annuities. Thematically, the SEC’s priorities adhere to its larger objectives: protecting retail investors (especially retirement savings); assessing market-wide risks; and utilizing data analytics… Continue Reading

NASAA Releases Its List Of Top Five “Investor Threats”: Same As It Ever Was

Posted in Annual Report, NASAA
Right around Christmas, NASAA, the North American Securities Administrators Association, which is comprised of the securities regulators from each of the 50 states, released its annual list of the top five threats to investors.  To compile the list, NASAA polled each state’s securities commissioner to learn the “the five most problematic products, practices or schemes.” … Continue Reading

How Do You Make a Million Dollars? Become Part of FINRA Senior Management!

Posted in Annual Report, Board of Governors, FINRA
I’m not sure that I’m as excited as Navin Johnson was when the new phone books were delivered — – but I was pretty happy when FINRA published its 2014 Year in Review and Financial Report. That’s because, at a minimum, I get to enjoy the part where it reveals the compensation paid to… Continue Reading