A FINRA review of more than 500 crypto-asset related retail communications identified "potential violations" in 70% of the communications
Cryptocurrency has found its way onto both the SEC's and FINRA's list of 2024 focus areas
Firms are falling short of the mark in establishing, maintaining, and enforcing a supervisory system tied to OBAs
This SEC final rule amends the broker-dealer customer protection rule to permit margin required and on deposit with covered clearing agencies for U.S. Treasuries to ...
Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...
Topics flagged as "new for 2024" include crypto, OTC quotations in fixed income securities, advertised volume and the market access rule
FINRA is actively conducting risk-based reviews of firms' practices tied to off-channel communications
FINRA cautions that the use of AI tools could implicate virtually every aspect of a firm's regulatory obligations
Brokerage firms contemplating making Regulation Crowdfunding offerings available on their platform to customers need to notify SRO
Commission action aims at making the Treasury market more efficient, competitive, and resilient and improving risk management practices