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FINRA is exploring amendments to its short interest program to improve regulatory and public utility
Sideletter
Broker-dealers have a legal duty to seek to obtain best execution of customer orders....for several years now I have advocated for the Commission to provide ...
FINRA flags 21 common marketing methods it is seeing in advertising reviews
FINRA conducted reviews of over 63,000 broker-dealer communications filings
Last year, there were 3,435 FINRA-registered broker-dealers, a 2% decline from the prior year
FINRA says new rules seek 'balance' between investor protection, defamation
BTIG did not take reasonable steps to verify that the hedge fund would deliver shares of stock sold by settlement and ignored red flags
Broker-dealers "noted practices" for mitigating "ATO" incidents detailed by FINRA
FINRA defines cyber terms in new regulatory notice
Broker-dealer failed to file 130 SARs, including when it had actually detected suspicious activity
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