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FINRA: Rulemaking (86)
Your search for FINRA: Rulemaking returned 86 results.
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2/28/2019 | Content area: Broker-Dealer
FINRA is looking to hear from broker-dealers that have had to activate their business continuity plans and whether the implementation of the BCP ultim...
10/11/2018 | Content area: Broker-Dealer
FINRA has determined to address arbitration forum users’ concern that non-parties wanting to object to an order or subpoena have insufficient time to ...
9/20/2018 | Content area: Broker-Dealer
With the Oct. 1 compliance date for FINRA rules tied to qualification and registration requirements fast approaching, the SRO has released nearly 30 f...
8/30/2018 | Content area: Broker-Dealer
The consolidated audit trail project continues to be plagued by missed deadlines. But a new status report from the Director of the SEC’s Division of T...
8/02/2018 | Content area: Broker-Dealer
FinTech is transforming the securities industry in many ways and FINRA wants to make sure it’s supporting innovation while still protecting investors ...
5/31/2018 | Content area: Broker-Dealer
FINRA officials appear headed back to the drawing board in the wake of unexpected opposition to a proposal to eliminate firms’ obligations to supervis...
4/26/2018 | Content area: Broker-Dealer
Broker-dealers’ should ensure their anti-money laundering programs are updated, as necessary, by May 11 to comply with the Financial Crimes Enforcemen...
4/26/2018 | Content area: Broker-Dealer
FINRA wants to know if its rule requiring each registered rep and principal to participate in annual compliance meetings has furthered the supervision...
3/23/2018 | Content area: Broker-Dealer
As the one-year anniversary of the outreach initiative dubbed “FINRA360” was reached this week (BD Watch, March 23, 2017), FINRA reported that it has ...
3/01/2018 | Content area: Broker-Dealer
FINRA is looking to move on a single streamlined rule addressing the outside business activities and private securities transactions of broker-dealers...
1/11/2018 | Content area: Broker-Dealer
Often lost in the shuffle when FINRA releases its annual regulatory and examination priorities letter is the regulatory component of the guidance. Whi...
1/04/2018 | Content area: Broker-Dealer
FINRA released Jan. 3 timely FAQs for rules relating to the financial exploitation of seniors that kick in on Feb. 5 (BD Watch, Apr. 7, 2017). The nea...
1/04/2018 | Content area: Broker-Dealer
FINRA is proposing a “streamlining” of rules covering outside business activities, responding to long-standing industry concerns, as well as a separat...
12/14/2017 | Content area: Broker-Dealer
FINRA has advanced a proposal representing one in a series of regulatory initiatives the SRO is considering related to the customer dispute expungemen...
11/16/2017 | Content area: Broker-Dealer
In a nod to advances in communications technology, increased acceptance of flexible work arrangements and the costs affixed to on-site inspections of ...
11/09/2017 | Content area: Broker-Dealer
FINRA promises you a “safe harbor” when you put temporary holds under new rule 2165 on disbursements when you perceive a senior customer being exploit...
10/26/2017 | Content area: Broker-Dealer
FINRA encourages firms to use new powers to hold up disbursements that seem exploitative to senior customers. But “savvy bad guys” are finding a new w...
10/26/2017 | Content area: Broker-Dealer
FINRA has moved to tackle the issue of unpaid customer arbitration awards. Acknowledging that it can be difficult for customers to collect from broker...
10/18/2017 | Content area: Broker-Dealer
FINRA requires that you request a Trusted Contact for “each account” of a client 65 years and older under its new senior investor protection rules (BD...
10/18/2017 | Content area: Broker-Dealer
How safe is the safe harbor FINRA is promising you under new rule 2165 (financial exploitation of specified adults)?  Jim Wrona, FINRA vice president ...


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