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FINRA: Regulators (273)
Your search for FINRA: Regulators returned 273 results.
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7/11/2019 | Content area: Broker-Dealer
A proposal from FINRA to clamp down on broker-dealers with chronic disciplinary problems has been criticized as regulatory overkill and singularly unf...
7/05/2019 | Content area: Broker-Dealer
FINRA expects its expenses will again exceed its operating revenues this year. The SRO’s recently released 2018 annual financial report outlining fina...
7/05/2019 | Content area: Broker-Dealer
You’re at a small firm and examiners are coming in. What are the issues they are most likely to surface, and what’s the best way to head them off?    ...
6/27/2019 | Content area: Broker-Dealer
Is FINRA’s consolidated enforcement function a good thing for the industry? Early signs suggest optimism.   An impetus behind the overhaul was concern...
6/18/2019 | Content area: Broker-Dealer
As in past years, FINRA’s annual conference in May concluded with an open-ended Q&A with senior staff of the SRO, in effect an opportunity for firms a...
5/23/2019 | Content area: Broker-Dealer
At least at its annual conference, FINRA goes all out to keep its customers happy. A survey of last year’s event, for example, found one attendee who ...
5/16/2019 | Content area: Broker-Dealer
In new guidance released May 6, FINRA is offering nearly 100 anti-money laundering “red flags” that broker-dealers should be watching for. Way back in...
5/09/2019 | Content area: Broker-Dealer
For two straight years, FINRA has flagged anti-money laundering among its most concerning exam findings (BD Watch, Dec. 20, 2018). But there’s plenty ...
5/02/2019 | Content area: Broker-Dealer
FINRA is putting its money where its mouth is when it comes to assisting broker-dealers in improving their compliance. Last year, the SRO spent $7.3 m...
4/25/2019 | Content area: Broker-Dealer
The rules for statutory disqualification are straightforward enough. Willfully violate the securities laws or commit a felony and you’re subject to di...
4/18/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Annual Budget Summary calls out that the SRO’s regulatory responsibilities remain “extensive and complex” and continue ...
4/04/2019 | Content area: Broker-Dealer
How do you get socked with a $100,000 fine for violations involving less than 1% of your revenue?    The answer shows the continuing importance of non...
3/28/2019 | Content area: Broker-Dealer
They are, in the words of one moderator at SIFMA’s annual compliance and legal conference, “the folks … who have the potential to make your life miser...
3/08/2019 | Content area: Broker-Dealer
With an April 1 deadline nearing, the window of opportunity to take advantage of FINRA’s self-reporting initiative for 529 plans is rapidly closing (B...
2/28/2019 | Content area: Broker-Dealer
A year after FINRA proposed an ill-fated overhaul, regulation of outside business activities and private securities transactions seems to be back with...
2/14/2019 | Content area: Broker-Dealer
It goes without saying that you should be scrupulously reviewing and retaining business-related e-mails. But when FINRA staff makes a point of telling...
2/07/2019 | Content area: Broker-Dealer
FINRA is again questioning the due diligence firms are conducting on private placement offerings (BD Watch, Dec. 20, 2018). But what exactly does the ...
1/31/2019 | Content area: Broker-Dealer
FINRA is taking a page from the SEC’s playbook in announcing Jan. 28 a self-reporting initiative tied to share class recommendations. Under the SRO’s ...
1/24/2019 | Content area: Broker-Dealer
FINRA sees growing problems with reps’ discretionary trading, and the range of conduct under scrutiny is broad. The SRO identified discretionary accou...
1/10/2019 | Content area: Broker-Dealer
The warning system at Cetera Advisor Networks flashed red: a highly productive rep appeared to be engaged in questionable trading.   Hundreds of elect...


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