FINRA

Despite revenue challenges and regulatory responsibilities that FINRA says are “as extensive and complex as ever,” the SRO won’t turn to an increase in firm ...

To their supporters, compensated non-attorney reps—aka NAR firms—are one of the few ways that a small investor can recoup losses in arbitration. To their detractors, ...

A new, toll-free helpline dedicated to small broker-dealers is the latest in a laundry list of recent actions taken by FINRA to enhance the support ...

From a compliance perspective, anti-money laundering programs have always drawn special attention. AML was recently highlighted by FINRA in its first-ever consolidated exam findings report ...

Often lost in the shuffle when FINRA releases its annual regulatory and examination priorities letter is the regulatory component of the guidance. While the 2018 ...

FINRA released Jan. 3 timely FAQs for rules relating to the financial exploitation of seniors that kick in on Feb. 5 (BD Watch, Apr. 7, ...

FINRA is proposing a “streamlining” of rules covering outside business activities, responding to long-standing industry concerns, as well as a separate plan to strengthen its ...

Enforcement actions have the benefit of giving you a road map on how to address supervisory and other problems perceived by your regulator. But failing ...

FINRA has advanced a proposal representing one in a series of regulatory initiatives the SRO is considering related to the customer dispute expungement process. On ...

FINRA appears intent on strictly enforcing OBA/PST rules even as it has targeted the regime for a retroactive review (BD Watch, 12/7/2017). Here are some ...