Home FINRA
FINRA
Third-party risk was the single most clicked on topic in the 2025 FINTA Annual Regulatory Oversight Report
FINRA makes it clear that the proposed OBA rule contains no new reporting and approval requirements
Two new alerts address the "fast-flux" technique of bad actors and an alleged large-scale data breach possibly affecting Oracle Cloud services
FINRA Forward is aimed at modernizing the SRO's rules, empowering broker-dealer compliance, and combatting cyber and fraud risks
SRO review aimed at better supporting innovative approaches in conducting business
Capital formation and the "modern workplace" are the two initial areas of focus of broad FINRA review of rules
FINRA is seeking recommendations that could "reduce unnecessary costs and burdens impacting the capital-raising process"
FINRA proposes replacing rules 3270 and 3280 with a single rule intended to enhance efficiency without compromising protections
AML issues stemmed from the onboarding of hundreds of new customers domiciled in high-risk foregin jurisdictions
StratIntel team shares information and intelligence back out to firms, industry, and fellow regulators