FINRA

Those located outside the U.S. still must ensure that their supervisory systems and procedures are reasonably designed to achieve compliance with rule 8210

A secure electronic portal will replace email as the method for the filing and servicing of documents in OHO proceedings come Oct. 7

RCW has obtained a copy of a FINRA exam letter asking for the firm’s 'written supervisory procedures' related to 'clone funds'

The new e-learning program is touted as empowering compliance professionals to combat crypto-related fraud

Move will make it easier for firms to provide associated persons with uniform registration forms and pre-dispute arbitration information

No later than Oct. 1 look for the posting of the final topics for inclusion in the 2026 Regulatory Element learning plan

FINRA calls out resources available to facilitate compliance with the annual regulatory and firm elements

Here are the top five most common marketing methods filed with FINRA

The average number of reps per firm in 2024 was 198 and the median number was 12

The problem was neither set of procedures described how the firm should monitor transactions involving customer money movements for AML red flags or how such ...