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Top 5 Regulatory Alerts – January 2017

Here are our Top 5 Regulatory Alerts for January 2017, ranked by significance.  We have also included the Top 5 most read Alerts (other than Best of the Web and Top 5).

 

Top 5 Regulatory Alerts – January 2017

  1. SEC STAFF PUBLISHES 2017 EXAM PRIORITIES (1/13/17)
  2. FINRA ANNOUNCES 2017 EXAM PRIORITIES (1/6/17)
  3. LARGE WRAP SPONSOR PAYS $18.3 MILLION FOR COMPLIANCE PROBLEMS IN BUSINESS SOLD 8 YEARS AGO (1/30/17)
  4. SEC FINES 10 FIRMS FOR VIOLATING ANTI-PAY-TO-PLAY RULE (1/18/17)
  5. EXECUTING BROKER TO PAY $22.6 MILLION FOR MISREPRESENTING ORDER FILLING PROCESS (1/24/17)

 

Most Read – January 2017

  1. SEC STAFF PUBLISHES 2017 EXAM PRIORITIES (1/13/17)
  2. SEC FINES 10 FIRMS FOR VIOLATING ANTI-PAY-TO-PLAY RULE (1/18/17)
  3. LARGE ADVISER FINED $13 MILLION FOR PREDECESSORS’ COMPLIANCE BREAKDOWNS (1/17/17)
  4. ADVISER FACES CRIMINAL PROSECUTION FOR CHERRY-PICKING (1/26/16)
  5. LARGE ASSET MANAGER PAYS $340,000 FINE BECAUSE SEPARATION AGREEMENTS VIOLATED WHISTLEBLOWER RULE (1/19/17)

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