How firms manage their obligations related to information collected from acquired customers is also being sought
The extension will now automatically sunset on June 30, 2022
Cloud computing is transforming how broker-dealers operate by providing opportunities
Many firms called out importance of well-designed governance policies that lay out roles, processes, standards and accountability
The analysis phase is expected to wrap by October, transition timeframe to follow
Fraudulent phishing e-mails purport to be from FINRA
Option account opening, account supervision, communications and diligence are the subject of the new FINRA sweep
FINRA reminds that the requirement to maintain a "reasonably designed" supervisory system and WSPs extends to vendors
FINRA's short sale reporting program enhancements proposal yielding a great deal of industry feedback
Risk tolerance, investment objective, financial condition and age ignored with unsuitable VSRP recommendations