FINRA

If you have a FINRA exam on July 9th or later, brace for examiners to check your compliance with new suitability rule 2111, a senior ...

Make sure your firm has a supervisory system to prevent reps from marketing and selling to non-accredited investors those products specifically designed for accredited investors. ...

Dually registered firms were asked to respond by last week to FINRA's voluntary request that each submit online the SRO's new Risk Control Assessment (RCA) ...

This is a copy of parts of FINRA's risk control assessment survey. The full survey can vary depending upon the online answers the respondent provides. ...

Your firm might be able to shield itself from class-action customer complaints if a new legal battle goes a certain way. While a plus for ...

A change FINRA has proposed to its arbitration system would assure that employees would have a right to file more kinds of claims against your ...

FINRA appears to have dropped a proposed provision that would have required broker-dealers to subject internal training materials to the same approval and record-keeping requirements ...

Turns out those IRS-990 forms can be tricky to read. Last week we reported on FINRA's latest 990, including its lobbying expenses for 2010 (IA ...

Press reports have shined a light of late on FINRA's lobbying efforts, tying it to the SRO's desire to oversee investment advisers. But an analysis ...

That highly publicized regulator-on-regulator enforcement action last month - the SEC slapping FINRA for a third incident in eight years that SRO staff gave the ...