Jeff Holik published in Financial Markets Association Newsletter
July 1, 2015
“Know Who You Are Hiring: Now More Than Ever,” an article written by Jeff Holik of Shulman Rogers’ Financial Regulatory and Compliance Practice Group, along with Emily Gordy and Renee Kramer, was published in Market Solutions, a Financial Markets Association Newsletter, on July 1, 2015.
The article discusses recent changes in FINRA requirements regarding regulatory reporting. FINRA stated that its “examiners will review whether required disclosures are complete, accurate and made within the required time periods; determine whether firms have controls, processes and procedures in place to ensure timely filings; and determine whether public records reviews are occurring.”