1. This month, FINRA updates its AML template to help small firms comply with the new CDD Rule and celebrates the one year anniversary of its FINRA360 program with a progress report.

    FINRA updated AML Template:
    finra.org/industry/anti-money-laundering-template-small-firms

    FinCEN guidance on frequently asked questions:fincen.gov/resources/statutes-regulations/guidance/frequently-asked-questions-regarding-customer-due-diligence

    FINRA main AML page:
    finra.org/industry/aml

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  2. This month, FINRA announces they will not raise member fees and the SEC continues to battle for Bitcoin regulation.

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  3. FINRA gets the green light from the SEC for its new SIE rule and warns investors what to look for in a designation.

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  4. This week’s Naughty List features an Arizona broker that tried to play out his own version of Great Expectations. Also being discussed, FINRA blasts the DOL’s fiduciary redraft and the SEC heats up their probe into a dozen firms.

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  5. This week’s Naughty List features broker selfies! Alex also discusses Michael Piwowar’s recent criticism of FINRA’s CARDS proposal, FINRA hires an analytics guru, and Canada’s AMF raids Amaya’s office in a possible insider trading scandal.

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That's the Facts of Life

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A satire news video of the financial services industry. We begin and end each show with mind blowing, bizarre, or just down right silly facts of life that everyone should know. Be sure to tune in every other Tuesday for a new episode so you never miss…


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A satire news video of the financial services industry. We begin and end each show with mind blowing, bizarre, or just down right silly facts of life that everyone should know. Be sure to tune in every other Tuesday for a new episode so you never miss a moment from the comical side of the financial world.

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