FINRA

FINRA continues to advance enhancements to its risk-based exam program with a view toward being more data driven and automated. “This data driven approach allows ...

SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings ...

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015 ...

SEC Approves Supplemental Inventory Schedule Implementation Date: The initial Supplemental Inventory Schedule ...

Regulators are fully dialed in to high frequency and algorithmic trading as a focus area. Last week’s “first-ever” market manipulation case against a high-frequency trader ...

Despite revisions instituted to placate initial dissention, FINRA’s controversial Comprehensive Automated Risk Data System is still being widely panned. The SRO’s new CARDS rule proposal ...

SEC Approves Amendments to the Arbitration Codes to Expand Arbitrators’ Authority to Make Referrals During an Arbitration Proceeding ...

Notice of FINRA District Committee Elections and Ballots Ballots Due: November 14, ...