Blog
Summaries and explanations of the latest regulatory compliance announcements, reports and related stories.
August 2024 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
July 2024 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
2024 nscp interactive compliance lab: key takeaways
Asgard team members Randi Mancuso and Leila Horal attended the NSCP Interactive Compliance Lab on April 23, 2024 at Fordham Law School.
april 2024 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
february 2024 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
2024 FINRA CYBERSECURITY CONFERENCE TAKEAWAYS
Asgard team members Olivia Scuteri and Shannon Brady attended the IAA Conference in Washington DC on March 6-8 2024.
January 2024 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
december 2023 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
november 2023 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
October 2023 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
September 2023 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
August 2023 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
JULY 2023 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
FINRA CONFERENCE 2023 KEY TAKEAWAYS
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
April 2023 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
MARCH 2023 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
February 2023 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
January 2023 newsletter
Asgard’s newsletter included notes of importance regarding industry updates and trends, helpful links and FINRA disciplinary action trends.
SEC Amends How Broker-Dealers Preserve Electronic Records
The Securities and Exchange Commission (“SEC”) voted to adopt amendments to the electronic record-keeping, prompt production of records and third-party record-keeping service requirements. The amendments will align record-keeping requirements with current technological developments to modernize how broker-dealers (“BDs”) preserve electronic records.
FINRA Revised Continuing Education Rules to take Effect January 1, 2023
In November 2021, FINRA adopted changes to the Regulatory Element component of its Continuing Education (“CE”) rules which, in part, now requires registrants to complete annual CE as opposed to the previous three-year cycle.