FINRA

Case calls out need to lock down the supervision of employee' business-related text messages, including those involving senior management

Financial Services' Republicans see 'a backdoor accredited investor standard'

Increase in electronic trading a factor in FINRA proposing reducing the trade reporting timeframe for TRACE-eligible securities

If approved, the amendments would extend FINRA oversight to potentially dozens of additional broker-dealers



SRO has seen an increase in the number of reps forging or falsifying customer signatures through third party digital signature platforms

"required FINRA membership for many of these currently-exempt firms would help enhance robust and consistent oversight"

"the proposal seems incompatible with a world in which multiple national securities associations operate. Rather, the proposal seems more likely to entrench FINRA further as ...

B-Ds automated surveillance system produced up to 500,000 alerts for manipulative trading per year

U.S. adults were able to grow their personal finances during the pandemic despite myriad economic disruptions