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Another component will look at whether the Division of Investment Management takes 'actions to ensure staff with sufficient and appropriate skills, experience, and expertise are ...
Reps identified as "high risk" represent about a fraction of one percent of the entire population
FINRA's new residential supervision and remote inspections pilot program rules do not require firms to bring their workforce back to the office full time
The three-year pilot program allows eligible firms the option of conducting inspections of some or all branch offices remotely
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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 ...
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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

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