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BD Latest News

The three-year pilot program allows eligible firms the option of conducting inspections of some or all branch offices remotely
Worried woman reading letter
The enforcement action yet again offers the lesson learned to continually check the veracity of your automated processes and to scrutinize the work of your ...
Chatbot Chat with AI, A.I.
Artificial intelligence was flagged as an “emerging risk” in the 2024 FINRA Annual Regulatory Oversight Report and the SRO cautioned that the use of AI ...
'Major event' officially becomes operative on Tuesday, May 28, the day after Memorial Day
FINRA charged TD Ameritrade with not exercising "reasonable due diligence" before approving certain customers to trade options
FINRA exam sweep status update featured questions brokerage firms should consider asking when approving options trading
Priorities include protecting investors and markets, enhancing transparency, reducing the time to complete cases, and improving internal collaboration
Reg BI and Form CRS failures lead to penalty for Texas-based broker-dealer
SRO warns of fraudulent e-mails purporting to be from FINRA and using e-mail addresses designed to look like they are those of FINRA execs
FINRA charges that posts made by influencers on social media sites on behalf of a Texas-based broker-dealer were "not fair or balanced"

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