01. PPT Writing and Maintaining WSPs
FINRA Compliance Podcasts
- Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
- Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry
- The Forgotten Generation: Shining a Spotlight on Gen X’s Financial Health
- The Latest Research: Why Do Targets Engage with Scams?
- The Victim Experience: When Romance Leads to a Crypto Scam
- Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation
- FINRA’s Examination Program: Optimizing for the Future
SEC News
- SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
- SEC Charges Ken Leech, Former Co-Chief Investment Officer of Western Asset Management Co., with Fraud
- SEC Announces Enforcement Results for Fiscal Year 2024
- SEC Charges Three Broker-Dealers with Filing Deficient Suspicious Activity Reports
- UPS to Pay $45 Million Penalty for Improperly Valuing Business Unit
- SEC Charges Advisory Firm La Mancha and its Owner David Kushner with Fraud
- SEC Chair Gensler to Depart Agency on January 20