Super Account Administrator

posted in: Registration & Licensing | 0

Important News from FINRA: As you may be aware, one of your responsibilities as your firm’s Super Account Administrator (SAA) is to complete the annual FINRA Entitlement User Accounts Certification Process. This certification process–which for 2013 begins Jan. 14 and … Continued

Skin in the Game

posted in: Advertising & Marketing | 0

Because I receive a live feed from the SEC, I get between 6 and 12 SEC press releases every day. Most deal with actions brought by the SEC against a variety of individuals and firms and most are, quite frankly, … Continued

SEC in Upheaval – Slows Pace of Audits?

posted in: SEC Examinations | 0

Robert Khuzami, director of the SEC’s Division of Enforcement, is reportedly leaving. His departure would mark the fourth major SEC staff exit in the last few weeks, following the heads of the Divisions of Corporation Finance and Trading and Markets and … Continued

SEC Issues Muni Bond Investor Bulletin

posted in: Portfolio Management | 0

The Securities and Exchange Commission today issued an Investor Bulletin to help purchasers of municipal bonds better assess the bonds’ credit risks.  The bulletin provides several factors for investors to consider including the type of the bond, the purpose and nature of the … Continued

Compliance Alert! Wire Fraud Scam

posted in: Alert! | 0

Dear Compliance Professional, We have just been notified by one of our clients of a wire fraud scam and wanted to bring it to your immediate attention. A cyber criminal created a fake client email message in an attempt to … Continued