Broker-Dealers

FINRA has developed tools that draw upon artificial intelligence, machine learning and "deep" learning to identify suspicious trading

There are 21 focus items reflected in the 2022 Report on FINRA's Examination and Risk Management Program report

Clearing firm charged with unauthorized trading, conversion, and misuse of customer funds and securities

Rule allows FINRA to impose new obligations on B-Ds with significantly higher levels of risk-related disclosures

FINRA cautions that issues can arise when issuers don't understand the unique characteristics of complex products and their risks

The proposal "would help ensure the SEC has oversight over PTFs [principal trading firms] and others engaged important liquidity-providing roles, such as market making"

"Today’s proposal seeks to bring some clarity to how this definition applies in markets where some of the key providers of liquidity are not registered ...

FINRA clarifies when a CCO is and is not subject to potential liability under its supervision rule

The proposal addresses concerns that some parties may not be able to participate meaningfully in arbitration due to illness or age

Global uncertainties trigger reminder to broker-dealers of the prudence of employing strong risk management practices