FINRA cautions that the use of AI tools could implicate virtually every aspect of a firm's regulatory obligations
Brokerage firms contemplating making Regulation Crowdfunding offerings available on their platform to customers need to notify SRO
Commission action aims at making the Treasury market more efficient, competitive, and resilient and improving risk management practices
"Effective practices" highlighted for incident preparation and response, the reporting of cyber incidents, and available resources and contact information
Credit Suisse Securities (USA) and two affiliates to pay over $10M to settle SEC charges that they provided prohibited underwriting and advising services to mutual ...
Four broker-dealers were charged by FINRA with violations relating to fully paid securities lending
Examiners are looking to determine whether P&Ps are "reasonably designed" based on the costs, risks, and rewards of the investment strategies recommended to customers
Smaller firms comprise 90% of FINRA’s membership—posing unique challenges for the SRO when it crafts its rules
FINRA is in the throes of developing an online, centralized content catalog that broker-dealers can optionally leverage to administer education and training for their continuing ...
Violations of Reg BI's care and compliance obligations led to SEC charges against the London-based Laidlaw & Co. (UK)