FINRA

FINRA has said that compliance with market access rules has become an issue in a growing number of exams (BD Watch, Dec. 14, 2017). The ...

Testifying as part of a FINRA proceeding does not equate to providing information to the SEC, a federal judge held, declining to expand protections for ...

DreamFunded Marketplace touted itself as “a world-class equity crowdfunding platform.” The dream died. FINRA filed a complaint against the San Francisco-based funding portal, alleging violations ...

Brokers with a checkered past have been shown via recent studies to be risks going forward. FINRA—concerned about the penchant for repeated disciplinary actions, arbitrations ...

The first year of “FINRA360”—the SRO’s ongoing organizational review aimed at improving efficiency and operations launched in March 2017—is already resulting in “significant change” across ...

Broker-dealers’ should ensure their anti-money laundering programs are updated, as necessary, by May 11 to comply with the Financial Crimes Enforcement Network’s rule on Customer ...

FINRA wants to know if its rule requiring each registered rep and principal to participate in annual compliance meetings has furthered the supervision of registered ...

Remember that carrot FINRA dangled for self-reporting mutual fund sales over-charges? Some of your peers apparently didn’t. They got the stick.   FINRA made it ...

Eight months after launching the initiative, FINRA’s new consolidated enforcement group is beginning to take shape, holding its first meeting and mapping an ambitious agenda ...

The headline suggested a textbook case of elder financial abuse: Broker makes fraudulent misrepresentations to collect $70,000 in fees from a couple of 90-something clients. ...