MyComplianceOffice Blog

Let’s talk about remote employees working at two jobs. Have you come across this before? A recent Wall Street Journal article covers stories of employees taking advantage of working from home to make more money and double their salary. The article says there is a rise of such practices among white-collar workers in industries ranging from tech to banking to insurance.

The Securities and Exchange Commission (SEC) Regulatory Notice 17-30 became effective on October 1, 2018, impacting FINRA qualification and registration rules. 

Each year, FINRA releases its "Annual Regulatory and Examination Priorities Letter." Compliance thought leaders and industry publications rush to comment and discuss.

*The data collected is from January - November 2017.

We have tracked the monthly and quarterly disciplinary actions taken by FINRA against member firms in 2017 and present to you 6 takeaways we have identified by delving into the numbers behind the released enforcement actions.

*Updated Jan 2017

We delved into the official disciplinary actions released from FINRA for 2016 and have been keeping a score sheet of all the fines by month. Now we present to you 7 facts from this long list of fines.