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Browse: Home / FINRA

FINRA

NFTs getting a closer look from FINRA

By Securities Docket on May 27, 2021, 1:10 pm

How hot is the NFT craze? It’s so hot that even Finra is trying to wrap its head around it. The Financial Industry Regulatory Authority — the non-government group that licenses broker dealers and accordingly polices it for infractions — is “taking a deep dive to understand NFTs and the implication for the regulation of […]

Posted in Industry, Top | Tagged FINRA, NFTs

Former FINRA Senior Officer Elizabeth Hogan Joins McGuireWoods’ Securities Enforcement & Litigation Team | McGuireWoods

By Securities Docket on October 27, 2020, 11:25 am

McGuireWoods is pleased to announce that Elizabeth Hogan, former senior vice president of market regulation enforcement at the Financial Industry Regulatory Authority (FINRA), has joined the firm’s nationally recognized Government Investigations & White Collar Litigation Department in Washington, D.C. via Former FINRA Senior Officer Elizabeth Hogan Joins McGuireWoods’ Securities Enforcement & Litigation Team | McGuireWoods.

Posted in People, Top | Tagged FINRA

FINRA Wants To Serve Docs By Email Amid Crisis Challenges – Law360

By Securities Docket on May 9, 2020, 9:00 am

The Financial Industry Regulatory Authority says the shift to remote work caused by the coronavirus pandemic has made it difficult for its employees to serve documents in hard copy as required by law, but a quick rule change could ease the pressure. FINRA asked the U.S. Securities and Exchange Commission on Thursday to approve a […]

Posted in Industry, SEC, Top | Tagged FINRA

FINRA EVP Of Office Of Fraud Detection And Market Intelligence Cameron Funkhouser Announces Retirement

By Securities Docket on August 28, 2019, 8:10 am

FINRA today announced the retirement of Executive Vice President Cam Funkhouser after more than 35 years of service at the organization. Funkhouser has led FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI) – including the Insider Trading and Fraud Surveillance units, FINRA’s Complaint Center and FINRA’s Whistleblower program – since its creation 10 years […]

Posted in People, Regulation, Top | Tagged FINRA

Former FINRA Department of Enforcement Director Joins Shearman & Sterling | Shearman & Sterling

By Securities Docket on May 15, 2019, 7:35 am

Shearman & Sterling is delighted to announce that Sara Raisner has joined the firm’s Litigation and Enforcement practice as counsel. She will be based in the firm’s New York office. Prior to joining Shearman & Sterling, Sara was a Director in FINRA’s Department of Enforcement. During her time at FINRA, Sara led a team of […]

Posted in People, Top | Tagged FINRA, Regulators

Four Partners Join King & Spalding with Regulatory Expertise from FINRA – King & Spalding

By Securities Docket on November 20, 2018, 8:20 am

King & Spalding today announced that Mirella deRose, Russell Johnston, Richard Margolies and Michael Watling joined as partners in the Government Matters practice and the Securities Enforcement and Regulation team in the New York office. All four partners served as senior attorneys with the Financial Industry Regulatory Authority (FINRA) Department of Enforcement. Johnston, Margolies and […]

Posted in People, Top | Tagged FINRA

Former FINRA SVP and Chief Counsel for Enforcement Joins Katten | Markets Insider

By Securities Docket on October 1, 2018, 1:38 pm

Katten Muchin Rosenman LLP announced today that Susan Light, a highly regarded securities regulatory enforcement leader, has joined the firm as a partner in its Financial Services practice in New York. via Former FINRA SVP and Chief Counsel for Enforcement Joins Katten | Markets Inside

Posted in Industry, People, Top | Tagged FINRA, Lawyers

U.S. Finance Watchdog Takes Aim at Cryptocurrency

By Securities Docket on July 11, 2018, 8:59 am

The Financial Industry Regulatory Authority (FINRA), a self-regulatory body for broker-dealersm has released a regulatory notice to mandate its member to notify the authority if  they engage in any cryptocurrency activity. Though the notice outlines what constitutes cryptocurrency activities, it does not detail how FINRA would use these disclosures nor does its website show any […]

Posted in Industry, Top | Tagged FINRA

FINRA Enforcement Units, Unite! | ThinkAdvisor

By Securities Docket on June 6, 2018, 7:36 am

…But also on the minds of industry watchers is how the Financial Industry Regulatory Authority is moving along in integrating its two enforcement divisions — now aptly called “One Enforcement” by the broker-dealer self-regulator. Who’s the person to ask? Susan Schroeder, of course, who heads FINRA’s enforcement team. During a recent FINRA Unscripted podcast, she […]

Posted in Industry, Top | Tagged FINRA

FINRA Enforcement: New Direction for the Regulator – Lexology

By Securities Docket on April 20, 2018, 9:12 am

The guidance Schroeder conveyed, if acted on, can potentially save firms and individuals a lot of stress, anxiety, money (especially in fines) and reputational damage. Does that mean there will be no more enforcement actions? Of course not. What it does mean is that the leaders of this enforcement program and of FINRA have staked […]

Posted in Industry, Top | Tagged FINRA

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