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
February 22, 2017

12 firms pay FINRA $14.4 million for WORM-less books and records

It was a bad winter for 12 firms fined a total of $14.4 million for significant deficiencies related to the preservation of broker-dealer and customer records […]
February 15, 2017

The SEC’s 5 biggest peeves

Last week, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) highlighted its five biggest noncompliance peeves which result in deficiency letters.
February 8, 2017

What FINRA will be watching in 2017

Despite recent regulatory upheavals, The Financial Industry Regulatory Authority (FINRA) ain’t dead yet. In fact, according to FINRA’s new president and CEO (since August 2016) Robert […]
February 1, 2017

Hefty Fines…Should you really consider them just another cost of doing business?

      This article by Patrina CEO Mark Opila was featured in The Active Investment Manager – the  National Association of Active Investment Managers Newsletter.
January 25, 2017

What the SEC will be watching in 2017

What will the Securities and Exchange Commission (SEC) be watching this year? Not reality TV, that’s for certain.
January 18, 2017

FINRA is on a roll and it’s only the middle of the month!

The Financial Industry Regulatory Authority (FINRA) is on a roll and it’s only the middle of January! The Authority already has published its January 2017 update […]
January 11, 2017

Is the new Congress financial industry friendly?

Is the new Congress financial industry friendly? Hard to say. While it looks that way on the surface, don’t expect the regulators to go anywhere soon. […]
January 4, 2017

The SEC closed out 2016 with a bang

Make a better resolution this New Year than this former NY state pension director and his broker allies did…