The three-year pilot program allows eligible firms the option of conducting inspections of some or all branch offices remotely
Worried woman reading letter
The enforcement action yet again offers the lesson learned to continually check the veracity of your automated processes and to scrutinize the work of your ...
Chatbot Chat with AI, A.I.
Artificial intelligence was flagged as an “emerging risk” in the 2024 FINRA Annual Regulatory Oversight Report and the SRO cautioned that the use of AI ...
FINRA charged TD Ameritrade with not exercising "reasonable due diligence" before approving certain customers to trade options
FINRA exam sweep status update featured questions brokerage firms should consider asking when approving options trading
Priorities include protecting investors and markets, enhancing transparency, reducing the time to complete cases, and improving internal collaboration
SRO warns of fraudulent e-mails purporting to be from FINRA and using e-mail addresses designed to look like they are those of FINRA execs
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

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