A Survey of Compliance Developments in the Securities Industry in 2013

Posted on February 17th, 2014 at 9:20 AM

Over the past year, the securities industry has seen a number of significant changes and developments. The changing of the guard at the Securities and Exchange Commission (“SEC”) has ushered in an era of aggressive enforcement and an increased focus on pro-moting an industry-wide culture of compliance. As a self-regulatory organization (“SRO”) regulated by the SEC, the Financial Industry Regulatory Authority, Inc. (“FINRA”) has promulgated guidance that similarly reflects an aggressive focus on compliance. As detailed below, the regulatory changes and guidance issued by the SEC and FINRA provide a comprehensive overview of important compliance developments throughout 2013 as well as a roadmap for the future of the securities industry... Read more

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