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FINRA & OFAC: What Brokerage Firms Need to Know About Compliance this Year (and Beyond)

Brokerage firms are subject to numerous compliance obligations. While most brokerage firm executives are generally familiar with the obligation to comply with the rules and regulations promulgated by the U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA), far fewer have a sufficient understanding of Office of...

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What Brokerage Firms Need to Know About OFAC and FINRA Compliance

The Financial Industry Regulatory Authority (FINRA) and Office of Foreign Assets Control (OFAC) both play roles—albeit very different roles—in regulating the conduct of brokerage firms in the United States. Brokerage firms must devote adequate attention and resources to both OFAC and FINRA compliance, and they must be prepared to affirmatively...

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7 Things That You Need to Know About FINRA and OFAC

Regulated securities professionals and brokerage firms have steep and onerous compliance obligations. One of the many that they have to satisfy is American sanctions law. These economic sanctions are enforced by the Office of Foreign Assets Control (OFAC) at the U.S. Department of the Treasury. Failing to adequately comply with...

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The FINRA 8210 Letter: What To Do if You Receive One

When investigating brokerage firms and individual broker-dealers, the Financial Industry Regulatory Authority (FINRA) has several tools at its disposal. One of its most-potent investigative tools is the 8210 letter. If you have received one of these letters—either personally or as a representative of your firm—you need to be very careful,...

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Broker Investigation Defense Strategies

For brokers targeted by the Financial Industry Regulatory Authority (FINRA) or the U.S. Securities and Exchange Commission (SEC), executing a strategic defense needs to be their top priority. FINRA and SEC investigations can present substantial risks—with fines, loss of registration, and even prison time potentially being on the table depending...

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Six Tips for Complying With OFAC and FINRA Enforcement

U.S. securities professionals occupy a complex place in the global financial landscape. They manage and invest billions of dollars of other people’s money and stand between investors who want to maximize their returns and organizations who desperately need an influx of cash to expand or just to get off the...

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