Category Archives: News

FINRA Releases 2019 Risk Monitoring and Examination Priorities Letter

On January 22, 2019, FINRA released its 2019 Risk Monitoring and Examination Priorities Letter, highlighting new priorities as well as identifying areas…

Senior Investor Exploitation on the Rise: FINRA Taking Action

With the aging of the U.S. population, financial exploitation of seniors is a serious and growing problem. Each day for the next…

Securities-Backed Lines of Credit: Using Your Investment Portfolio as Collateral

An increasing number of securities firms are marketing and offering securities-backed lines of credit, or SBLOCs, to investors.  SBLOCs can be a…