Big changes in outside business activity regulation are coming – at least if commentators on the subject of FINRA’s latest retrospective rule review have their ...
Recently, a FINRA official offered a road map for getting through your next exam – what examiners will be looking for, and how you can ...
In March, as part of a top-down review launched by CEO Robert Cook, FINRA sought public comment on its “engagement” programs (BD Watch, March 23, ...
Broker-dealers are now off and running with the new requirement to report transactions in U.S. Treasury securities through FINRA’s Trade Reporting and Compliance Engine (BD ...
With FINRA using data analytics and other high-tech tools that zero in on risk, the exam process is now more focused than ever. That means ...
FINRA’s operating revenues declined $54.1 million last year—a 6% decrease—according to the SRO’s 2016 Annual Financial Report released June 30. President/CEO Robert Cook attributed the ...
There is a price to pay when you sign off on certifications that your firm is in compliance with “pre-release agreements” for American Depositary Receipt ...
How does FINRA prepare for an exam? What are examiners looking for once they knock on your door? Here’s a peek into one senior examiner’s ...
Consider the cross-winds in advertising regulation. The burden, when it comes to the volume of filings required by FINRA, is going down, but the risks, ...
The North American Securities Administrators Association characterized the recently released findings of a survey of the senior-related practices and procedures of more than 60 broker-dealers ...