category finra Financial Institution Related Topics 
Burr Forman
FEBRUARY 2, 2021
On February 1, 2021, the Financial Industry Regulatory Authority (“FINRA”) released its “Report on FINRA’s Risk Monitoring and Examination Activities.” Throughout, shaded boxes call attention to various Emerging Issues , for example: AML and Financial Crime Risks address issuers in restricted jurisdictions (e.g.,
Burr Forman
FEBRUARY 9, 2021
FINRA issued its Investor Alert cautioning against emotional trading not aligned with long-term financial means and goals, among others. Following the Crowd: Investing and Social Media,” (FINRA Jan. New Investors held smaller balances in their taxable accounts when compared with investors in the other two categories.”.
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