Know News

Know News

is a curated selection of the latest news and views from leading sources in the compliance industry, as well as what's going on at Patrina.

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Know News Archives
January 26, 2016

Messy WSPs cost Archipelago Trading Services $100K.

What Will Your WSPs Cost You? How much more paperwork can you take on? It’s a given that broker-Dealers, RIAs, and FCMs must create, implement, maintain, […]
January 20, 2016

What the SEC will be looking at this year…

The Securities and Exchange Commission is going to cast a wider net this year. According to the Office of Compliance Inspections and Examinations (OCIE) Director Marc […]
January 12, 2016

FINRA’s Priorities in 2016: Culture, Oversight, and…

This year, the Financial Industry Regulatory Authority (FINRA) will focus on three broad areas of concern
January 6, 2016

NASAA Says Reported Complaints Are Just the Tip of the Iceberg

Every year, the North American Securities Administrators Association (NASAA) conducts an annual survey of U.S. members to clarify trends in securities fraud, investor protection, and other […]
December 21, 2015

The SEC Worries About Your Emails…

Earlier this month, Andrew Ceresney, Director of the U.S. Securities and Exchange Commission (SEC) testified before the Committee on the Judiciary of the U.S. House of […]
December 15, 2015

Twas the night before Christmas

          ‘Twas the night before Christmas, the office was bare,’Cept the CCO still battling FINRA’s new, New Year’sscare.The reports were piled high […]
December 9, 2015

Algo traders watch out!

The U.S. Commodity Futures Trading Commission (CFTC) is watching you…and  thinks the world would be a better place if there was more oversight and regulation. That’s […]
December 7, 2015

The SEC catches social media fraudsters

The U.S. Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (“OIEA”) recently issued an Investor Alert warning investors about “fraudsters who may attempt […]