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Financial Services' Republicans see 'a backdoor accredited investor standard'
Increase in electronic trading a factor in FINRA proposing reducing the trade reporting timeframe for TRACE-eligible securities
If approved, the amendments would extend FINRA oversight to potentially dozens of additional broker-dealers
SRO has seen an increase in the number of reps forging or falsifying customer signatures through third party digital signature platforms
"required FINRA membership for many of these currently-exempt firms would help enhance robust and consistent oversight"
"the proposal seems incompatible with a world in which multiple national securities associations operate. Rather, the proposal seems more likely to entrench FINRA further as ...
Innovations systems
B-Ds automated surveillance system produced up to 500,000 alerts for manipulative trading per year
U.S. adults were able to grow their personal finances during the pandemic despite myriad economic disruptions
After nearly 600 examinations, FINRA has signaled changes to the focus of Reg BI and Form CRS exams are afoot
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