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
October 26, 2016
FINRA Fines Merrill Lynch $2.8 Million for Systemic Reporting, Books, and Records, and Related Supervisory Violations
October 19, 2016
Earlier this summer, Lynnette Kelly, executive director of the Municipal Securities Rulemaking Board (MSRB) spoke to the National Association of State Treasurers about the “New Rules […]
October 12, 2016
Does it sometimes feel like the compliance world is always under attack by an endless stream of self-propagating fraudsters? Where are our crime-fighting superheroes?
October 6, 2016
It’s been a difficult fall season for bad actors acting badly and for those who hire them.
September 28, 2016
Are Post-it notes the new “breakfast of champions?”
September 21, 2016
What do your marketing materials say? Anything the regulators could find actionable? Maybe…?
September 15, 2016
Okay. The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (CIE) didn’t use those exact words…But in its September 2016 Risk Alert, it […]
September 7, 2016
Are you supervising your “hoots” and “squawks?” Nooooooo…This NOT is a cautionary tale about how broker-dealers, RIAs, FSAs and others in financial services spent the summer […]
