FINRA defines cyber terms in new regulatory notice
Broker-dealer failed to file 130 SARs, including when it had actually detected suspicious activity
November 8 has now been set as the first compliance date for Regulation SBSR
FINRA seeks feedback on diversity issues by the end of June
Fraud committed against firms and their clients "at a much larger scale than ever before"
RCW has obtained a copy of a recent FINRA document request letter for an exam that focused largely on Regulation Best Interest
The SRO is seeing customer agreements containing provisions that run counter to its rules
'Deeper reviews' of Reg BI and Form CRS, examinations of CAT compliance coming
Two SEC commissioners had argued relief presented "an unacceptable risk to investors"
FINRA has been coordinating with the SEC to make sure exam efforts are not being duplicated