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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
FINRA is reducing unnecessary burdens regarding the use of negative consent for the bulk transfer or assignement of customers' accounts
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
Arbitration cases filed on or after March 30 could be accelerated for parties who qualify based on their age or health condition
Broker-dealer charged with failing to reasonably supervise its employees' business-related text messages
FINRA exec shares details on different types of AI agents that the financial services industry is beginning to implement
Firms will pay $1.1 million fine for having supervisory systems that were not reasonably designed to achieve compliance with Securities Act section 5
FINRA cautions that firms should recognize, and take action to address, red flags of improper unregistered distributions of securities