Hugh Kennedy
FINRA was lauded for its effort to protect vulnerable adults
Settlements with the SEC and CFTC aggregated more than $20 million
The exam overhaul has officially launched
Continually assessing your firm's cyber resiliency methodology recommended
Some firms have concluded wires are more trouble than they are worth
Questions that could be asked on exams included
Digital assets to be scrutinized
B-D agrees to pay $1.25 million penalty
FINRA is proposing to impose new supervisory duties on firms
The dual registrant will pay a $1.5 million penalty