Saturday 28 January

18:52:02

US News

The Latest Regulatory News

  • FINRA Regulatory Notice 11-49
    FINRA Provides Guidance on Advertising Regulation Issues
  • FINRA Regulatory Notice 11-52
    FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
  • FINRA Regulatory Notice 11-47
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
  • MSRB NOTICE 2011-60 (October 13, 2011)
    MSRB FILES WITH THE SEC AMENDMENTS TO RULE G-16 TO FACILITATE RISK-BASED COMPLIANCE EXAMINATIONS AND AMENDMENTS TO RULE G-9, ON PRESERVATION OF RECORDS. Today, the MSRB filed with the Securities and Exchange Commission (“SEC”) a proposed rule change consisting of amendments to Rule G-16, on periodic compliance examination, and Rule G-9, on preservation of records, in order to facilitate the establishment of a risk-based compliance examination program for brokers, dealers, and municipal securities dealers (“dealers”) that are members of the Financial Industry Regulatory Authority (“FINRA”).[1]
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About L&S Consulting Group, Inc

L & S Consulting Group, Inc. is a strategic consulting firm specializing in compliance products and services for the securities industry.

With the increased level of scrutiny in today's regulatory environment it is critical to stay informed and be responsive to all regulatory matters that may impact you and your business.

L & S Consulting Group, Inc. is dedicated to providing efficient means to accessing accurate information in the areas of securities compliance, regulatory guidelines, solicitation and disclosure requirements, investor education and protection. More specifically, we offer products and services which focus on securities consulting and compliance research to include Self-Regulatory Organizations (“SRO”) rule citations, supervisory procedures and audit reviews.

By working closely with you and your staff, we are confident that we can enhance your existing regulatory compliance obligations and systems by customizing a program to cover all of your business and operations to help you meet all future regulatory matters.