The CAT has been determined to meet the standards approved by the SEC
SRO expanding its recruiting efforts to ensure attracting candidates with diverse skill sets
Gensler has asked SEC staff to make best execution recommendations
E-mail claims that "late submissions may attract penalties."
FINRA is exploring amendments to its short interest program to improve regulatory and public utility
FINRA flags 21 common marketing methods it is seeing in advertising reviews
FINRA conducted reviews of over 63,000 broker-dealer communications filings
Last year, there were 3,435 FINRA-registered broker-dealers, a 2% decline from the prior year
FINRA says new rules seek 'balance' between investor protection, defamation
Broker-dealers "noted practices" for mitigating "ATO" incidents detailed by FINRA