Home FINRA: Rulemaking

FINRA: Rulemaking

FINRA is proposing to impose new supervisory duties on firms
Proposals address Reg BI, firm misconduct
Changes to FINRA’s rules on who can buy or sell initial equity public offerings or new issues open doors not just for broker-dealers but—potentially—private fund ...
FINRA is wondering if a tougher regulatory scheme for lending arrangements is warranted
senior citizen elderly sad unhappy worried
Broker-dealers would have more discretion in handling the accounts of vulnerable senior investors under an industry proposal submitted to FINRA. The SRO is conducting a ...
It’s no secret that the self-regulatory organizations developing the Consolidated Audit Trail have missed a slew of milestone completion dates (BD Watch, Aug. 30, 2018). ...
Concerns about the protection of personally identifiable information included in the Consolidated Audit Trail has long been an issue for regulators and the industry. And ...
There’s no mistaking that the protection of senior investors remains a top priority for FINRA. At the start of the year, the SRO flagged the ...
Issuance activity in foreign sovereign debt securities has accelerated “substantially” in recent years and FINRA is moving to secure information on what it sees as ...
Questions have swirled in the industry around the application of the federal securities laws and FINRA rules regarding the custody of digital asset securities. In ...
In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording firms the option ...
FINRA is looking to hear from broker-dealers that have had to activate their business continuity plans and whether the implementation of the BCP ultimately proved ...
FINRA has determined to address arbitration forum users’ concern that non-parties wanting to object to an order or subpoena have insufficient time to do so. ...
With the Oct. 1 compliance date for FINRA rules tied to qualification and registration requirements fast approaching, the SRO has released nearly 30 frequently asked ...
The consolidated audit trail project continues to be plagued by missed deadlines. But a new status report from the Director of the SEC’s Division of ...
FinTech is transforming the securities industry in many ways and FINRA wants to make sure it’s supporting innovation while still protecting investors and market integrity. ...
FINRA officials appear headed back to the drawing board in the wake of unexpected opposition to a proposal to eliminate firms’ obligations to supervise third-party ...
Broker-dealers’ should ensure their anti-money laundering programs are updated, as necessary, by May 11 to comply with the Financial Crimes Enforcement Network’s rule on Customer ...
FINRA wants to know if its rule requiring each registered rep and principal to participate in annual compliance meetings has furthered the supervision of registered ...
As the one-year anniversary of the outreach initiative dubbed “FINRA360” was reached this week (BD Watch, March 23, 2017), FINRA reported that it has received ...
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