FINRA has released its first consolidated findings from recent examinations, delivering on a pledge made by the SRO’s President/CEO Robert Cook at the start of ...
FINRA has advanced a proposal representing one in a series of regulatory initiatives the SRO is considering related to the customer dispute expungement process. On ...
FINRA appears intent on strictly enforcing OBA/PST rules even as it has targeted the regime for a retroactive review (BD Watch, 12/7/2017). Here are some ...
In each of the first three quarters of this year the SEC has filed charges of excessive trading against brokers. The streak continues with the ...
Nobody likes the rules covering outside business activities or private securities transactions. FINRA is conducting a review with an eye toward making changes (BD Watch, ...
Failing to perform adequate background investigations was a common exam deficiency noted by FINRA last year. The issue appears to have carried over into this ...
FinTech innovations, it is often said, have the potential to transform key parts of the securities industry. While healthy skepticism still seems warranted, there are ...
A last minute request by the national securities exchanges and FINRA to extend the CAT plan’s compliance date for reporting data to the central repository ...
FINRA’s latest exam sweep focuses on broker-dealers’ receipt of order routing inducements and potential conflicts of interest. The SRO is looking to determine the impact ...
In a nod to advances in communications technology, increased acceptance of flexible work arrangements and the costs affixed to on-site inspections of remote office locations, ...