Know News

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
December 20, 2016

‘Twas the night after Christmas

‘Twas the night after Christmas. The office was cold.And the CCO sat thinking, alone at his desk:
December 14, 2016

2016 was a very good year for SEC whistleblowers – $130 million and still counting!

Last Monday (Dec. 5), the Securities and Exchange Commission (SEC) awarded $3.5 million to a whistleblower for coming forward with information that led to a SEC […]
December 7, 2016

Regulators on a tear! In less than 30 days, FINRA issues nearly $3.5 million in fines

While you were eating turkey, watching football, and gearing up for your fiscal year-end…FINRA has been very, very busy.
November 30, 2016

What lies ahead for fund regulation?

Speaking last month on “The SEC’s New Fund Reporting and Liquidity Rules: What Do They Mean for the Fund Industry,” in Boston, MA, Investment Company Institute […]
November 23, 2016

Investors to gain access to your compensation info

Yikes! The Securities and Exchange Commission (SEC) has just approved the Municipal Securities Rulemaking Board’s (MSRB) request to require municipal securities dealers to disclose their compensation […]
November 17, 2016

System failure? System backup!

Just last summer Timothy Massad, chair of the U.S. Commodities and Futures Trading Commission (CFTC), raised the issue of disaster recovery. Citing initiatives by the Committee […]
November 9, 2016

New survey says more advisors building business through social media

It’s only been three years since Putnam Advisors first surveyed financial advisors on their social media usage. My how the world has changed.
November 3, 2016

Targeted for FINRA’s most recent sweep?

Targeted for FINRA’s most recent “sweep” requesting nearly 5 years of your info by November 15th?