FINRA identifies findings tied to failures to comply with the Reg BI compliance obligation
SEC Chairman Gary Gensler
"Now, that’s not to say this change will be new; in fact, this change simply brings us back to the T+1 settlement cycle our markets ...
SEC Commissioner Peirce
"But [I] do want to make one final plea to Chair Gensler. Why not adopt a September 3, 2024 compliance date? I will vote for ...
SEC Commissioner Crenshaw
"While it is clear that T+0 will entail greater operational and technological challenges than the move to T+1, I agree with commenters that such a ...
SEC Commissioner Uyeda
"In my view, we are in an imprudent rush away from a sensible transition date and, for that reason, I am unable to support the ...
SEC Commissioner Lizarraga
"The benefits to all market participants of efficiency and fairness are indisputable. And the sooner that our markets can benefit from T+1, the better off ...
One of FINRA's lengthier regulatory notices exemplifies the importance the association places on succession planning
Firm charged by FINRA with failing to tailor its AML program to reasonably monitor for and report suspicious activity
The association is pushing back on the proposed allocation of two-thirds of the costs of the Consolidated Audit Trail to industry members
SEC's Division of Examinations intends to incorporate performance with Reg BI into retail-focused exams of broker-dealers

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