The move to T+2 in 2017 came with the requirement to evaluate a shorter settlement cycle within three years
Focus areas are detection. monitoring, suspicious activity report filing and fraud reporting
New regulatory notice calls out B-Ds risks and requirements, identifies "red flags"
Investment knowledge was found to be particularly low for new investors
FINRA is warning retail investors to take a close look at who they take their stock tips from. A Jan. 29 risk alert, “Following the ...
The SRO flags 18 priority focus areas grouped into firm operations, communications and sales, market integrity, and financial management
B-Ds encouraged to embrace effective practices employed by their peers
Feedback sought on impact to firms' operations and business models and the effectiveness of BCPs
A regrouping of questions, along with better validations and completeness checks featured
Commission is encouraging innovation around the application of the customer protection rule to digital assets