FINRA cautions that prompt injection attacks do not require a computer intrusion or some other unauthorized access
"Since adoption of the Treasury Clearing Rule, market participants have raised a number of concerns, including with respect to the types of entities that can ...
Senior FINRA exec flagged nine rule amendments that reside in the SRO's pipeline
Broker-dealer failed to conduct "reasonabble regular and rigorous reviews" of execution quality
The new order exempts from certain recordkeeping requirements those B-Ds that maintain total assets of less than $1 billion and capital of less than $100 ...
FINRA is reducing unnecessary burdens regarding the use of negative consent for the bulk transfer or assignement of customers' accounts
"The Staff views prudent recordkeeping practices as being essential for investor protection in the operation of a broker-dealer, to perform an audit or examination of ...
"Using stablecoins will make it feasible for broker-dealers to engage in a broader range of business activities relating to tokenized securities and other crypto assets"
B-D has 90 days to certify, among other things, that it has remediated issues tied to the evaluation of disclosed outside business activities
SRO to file new proposed rule changes with the SEC tied to making e-delivery the default method for delivering customer communications