FINRA

FINRA charges that posts made by influencers on social media sites on behalf of a Texas-based broker-dealer were "not fair or balanced"

Commissioner suggests proposed rule preventing non-lawyers from getting compensated to represent investors in arbitration proeedings could exacerbate problems

Financial services will continue to be hit with the symptoms of the cyber threat, including ransomware, account takeovers, identity theft, and data breaches

New FINRA case adds the new twist of charges against both the firm and a specific person

"A proposed FINRA rule could exacerbate the problem by preventing non-lawyers from getting compensated to represent investors in arbitration proceedings"

The "biggest and most powerful" implementation being seen so far with AI is efficiency gains

When it comes to AI, the use of third-party vendors is the current, primary driver, making supervision critical

Bill St. Louis recently detailed what's on the horizon for broker-dealer enforcement in 2024

"I am supportive of greater post-trade transparency in the Treasury markets, which should benefit investors and issuers alike"

FINRA's annual regulatory oversight report highlights new best execution questions you should answer, including on execution quality reviews