Know News
is a curated selection of the latest news from Patrina and leading sources relating to SEC and FINRA compliant archiving regulations.
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Know News Archives
January 4, 2021
‘Tis the season of presents and good wishes. And as most of us head off for what we hope will be a COVID-free year, 2021 may […]
December 23, 2020
Twas the night before Christmas, when all through the house Everyone was home working – with zoom and a mouse! The jacket and tie hung on […]
December 16, 2020
While sanctions totaling nearly $125,000 might be “chump change” for some of the largest financial institutions, it’s no small matter for Griffinest Asia. The Pasadena, CA […]
December 9, 2020
The New Hampshire Bureau of Securities Regulation has instituted its largest monetary sanction in the Bureau’s history. In settling its case against New York-based broker-dealer Merrill […]
December 3, 2020
The Securities and Exchange Commission (SEC) has issued a Risk Alert that reflects issues identified in a sample of deficiency letters from recent adviser exams and […]
November 19, 2020
Is this the stuff of Hollywood? The Federal Bureau of Investigations (FBI), the Securities and Exchange Commission (SEC), and a slew of disgruntled clients are looking […]
November 5, 2020
SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020 FOR IMMEDIATE RELEASE The Securities and Exchange Commission’s (SEC) Division of Enforcement has been very […]
October 28, 2020
USAA’s regulatory troubles now include an $85K OCC fine Things are just getting worse and worse for USAA Federal Savings Bank compliance. This week, the Office […]
