FINRA Combines Enforcement and Investigations in One

The Financial Industry Regulatory Authority (FINRA), the Self-Regulatory Organization that regulates the securities industry, said Thursday that it has completed integrating the self-regulator’s enforcement functions, and announced a new senior leadership team to lead the new structure. The consolidation, which began in July 2017 under FINRA360 along with the promotion of Susan Schroeder as head … Continue reading FINRA Combines Enforcement and Investigations in One

Google Fined $5,000,000,000 for Monopolistic Behavior

European Union regulators have slapped Alphabet-owned Google with a record 4.34 billion euro ($5 billion) antitrust fine for abusing the dominance of its Android mobile operating system, which is by far the most popular smartphone OS in the world. Google said in a statement that it would appeal the ruling, arguing against the EU's view that its software is restrictive of fair … Continue reading Google Fined $5,000,000,000 for Monopolistic Behavior

FINRA Wants Brokerage Firms to Report Involvement in Cryptocurrencies

The Financial Industry Regulatory Authority, the self-regulatory agency of the securities industry which has rule-make authority for brokers (member firms), has been monitoring developments in the digital asset marketplace and has been undertaking efforts to ascertain the extent of member firm involvement related to digital assets. To supplement their efforts to date, FINRA his issued Regulatory Notice … Continue reading FINRA Wants Brokerage Firms to Report Involvement in Cryptocurrencies

Solving Your Personal or Business Tax Problems–Use a Professional

Having Uncle Sam (or the State) breathing down your neck over a tax issue can make anyone seek out a quick fix, but before seeking help from a company making hard-to-believe promises, be sure to do some research. While there are reputable firms with accredited CPAs, EAs, and tax attorneys to assist in settling tax … Continue reading Solving Your Personal or Business Tax Problems–Use a Professional