Compliance

Ninety percent of FINRA's operating expenses are driven by compensation and technology costs.

First Southern LLC failed to timely and accurately report on trades executed for an affiliated hedge fund, FINRA said.

The charges related to implementation and enforcement of material nonpublic information policies and Puerto Rico bonds.

The case related to an attorney the firm used as a consultant in negotiations related to Puerto Rico's debt restructuring.

Silver Point says it has done nothing wrong, and has retained prominent legal figures for its defense.

The state's year-old rules ban broker-dealers and investment advisors from using non-financial criteria in investment strategies.

Federal agencies will be required to simplify Notice of Funding Opportunities as part of a "complete overhaul" of federal financial assistance rules.

Is the banking sector in crisis? What happened, and what can bankers learn from this turmoil? Two of American Banker's reporters discuss the fallout and what comes next with the magazine's editor-in-chief.

Navigating challenges and what's ahead in banking regulation.

The Municipal Securities Rulemaking Board has announced its fifteen-member Compliance Advisory Group for the 2023 fiscal year, which includes eleven women and four men.

Several firms' ability to underwrite municipal bond issues in Texas is under review.

The IRS has entered into a closing agreement with the City of Alpharetta following its VCAP request stemming from the sale of a bond-financed conference center.

Market participants are wary that regulators may muddle ESG risk disclosure guidance with guidance regarding labeled bonds.

The 70-page report homed in on some muni-specific risks uncovered during examinations.

FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.

The organization sought to increase representation of underrepresented minorities and women on its municipal market advisory groups.

Groups believe that the draft compliance resources contain some useful information, though they could be construed as creating new compliance requirements.

Todd Cipperman, founding principal of Cipperman Compliance Services, talks with Chip Barnett about compliance and disclosure and regulation by the federal government in 2022. (42 minutes)

Yan Zhao, President of NYDIG as she exploreshow Bitcoin is experiencing wider adoption in the traditional finance world, and why that is.

Some firms are voluntarily self-reporting potential supervisory and suitability rule violations.