Cyber is flagged as a "selected highlight" in FINRA's new Examination and Risk Monitoring report as risk increases
FINRA offers up a "Top 5" list of tools and resources the SRO believes would most benefit B-D compliance professionals
The proposed rule would prohibit a restricted competition trading center from internally executing certain orders of individual investors at a price unless the orders are ...
Among the nearly 250 questions the SEC asks the industry in the proposal, more than once the agency touches on its potential fallout on IAs
FINRA details questions firms can use to evaluate their cyber program given increased ransomware threat
FINRA alert flags questions broker-dealers may wish to consider when evaluating their cybersecurity incident response plans
FINRA "strongly encourages" firms and their customers to "give serious consideration to the importance of naming a trusted contact
This is the part of the SEC's proposed new Regulation Best Execution that calls for an annual review
This is a proposed rule under the SEC's Regulation Best Interest that focuses on P&Ps and other obligations
This is the SEC's proposed standard for its best execution proposed rule