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FINRA: Rulemaking (92)
Your search for FINRA: Rulemaking returned 92 results.
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9/12/2019 | Content area: Broker-Dealer
It’s no secret that the self-regulatory organizations developing the Consolidated Audit Trail have missed a slew of milestone completion dates (BD Wat...
9/12/2019 | Content area: Broker-Dealer
Concerns about the protection of personally identifiable information included in the Consolidated Audit Trail has long been an issue for regulators an...
8/15/2019 | Content area: Broker-Dealer
There’s no mistaking that the protection of senior investors remains a top priority for FINRA. At the start of the year, the SRO flagged the protectio...
8/08/2019 | Content area: Broker-Dealer
Issuance activity in foreign sovereign debt securities has accelerated “substantially” in recent years and FINRA is moving to secure information on wh...
7/11/2019 | Content area: Broker-Dealer
Questions have swirled in the industry around the application of the federal securities laws and FINRA rules regarding the custody of digital asset se...
4/25/2019 | Content area: Broker-Dealer
In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording...
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...


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