This is the nineteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
Thank you for your professional assistance with this matter. You are very good at what you do.
This is the nineteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.
WealthFeed leverages proprietary AI technology to collect nine real-time financial data points, including business sales, capital raises, inheritances, and job changes.
The Securities and Exchange Commission (SEC) is ramping up its enforcement efforts targeting off-channel communications, particularly text messages, among investment advisory firms.