Know News
is a curated selection of the latest news from Patrina and leading sources relating to SEC and FINRA compliant archiving regulations.
Other News
Know News Archives
January 26, 2016
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
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
This year, the Financial Industry Regulatory Authority (FINRA) will focus on three broad areas of concern
January 6, 2016
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
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, the office was bare,’Cept the CCO still battling FINRA’s new, New Year’sscare.The reports were piled high […]
December 9, 2015
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 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 […]
