A FINRA review of a broker-dealer's advertised trading volume uncovered the overstating of volume on Bloomberg by 2.1 billion shares
The use of financial social media influencers is growing in popularity, which means increased regulator scrutiny
FINRA's rules apply when firms use Gen AI for business just as they do when firms use any other technology or tool
Regulatory and compliance issues for municipal advisors and dealers are on the agenda
SRO advises not to close/withdraw any existing Form BR for those locations that are or will be designated as a "residential supervisory location"
FINRA suggests broker-dealers need to make sure their IT personnel are aware of the quishing attack vector
Report stated that more consumers indicated trusting individual financial professionals than AI
Enforcement actions shine a spotlight on supervisory systems, including WSPs, and suitability requirements pertaining to excessive trading
Thrivent's supervisory system has not been reasonably designed to detect possible instances of electronic forgery or falisifcation, FINRA says
Merrill did not conduct a review of how long it took the firm's electronic order systems to process and route the orders to a market ...