- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The Financial Industry Regulatory Authority’s Board of Governors has concluded its CEO search, and appointed Robert Cook as president and chief executive officer, effective the second half of 2016. Cook will succeed Richard Ketchum, who has served as chairman and CEO since 2009. Joe Mont has more on the transition.
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A risk alert from the Securities and Exchange Commission listed top reasons why a registered broker-dealer might be the subject of an examination.
The Financial Industry Regulatory Authority fined a Bank of America subsidiary $90,080 for filing untimely or inaccurate notifications related to security distributions and failing to adopt an adequate supervisory system.
The Securities and Exchange Commission will require broker-dealers and registered investment advisers to adopt written policies and procedures for handling data breaches of customer data and notify affected customers within 30 days.
