FINRA found the firm's compliance department was understaffed and did not have adequate training or guidance to handle rule 8210 requests on time
Broker-dealer failed to establish, maintain and enforce a supervisory system, including written procedures, reasonably designed to supervise outside accounts
FINRA lists 20 questions that it seeks responses to concerning day trading account approval and risk disclosure requirements
The onset of the COVID-19 pandemic resulted in highly stressed market conditions for commercial paper, debt securities issued by banks, and asset-backed securities, particularly for ...
The firm's brochure made no disclosure regarding the incentive for financial advisors to put and keep client assets in PM Program strategies to help the ...
JP Morgan Securities self-reported the issue to the Commission staff, undertook an investigation to confirm that there were no other Clone Pairs available for recommendation ...
Phishing campaigns employing the tactic of impersonating FINRA execs and ongoing threats from Iranian cyber actors are the subjects of new alerts
FINRA action is aimed at strengthening rule 3240's general prohibition against borrowing and lending arrangements between registered persons and their customers
FINRA report analyzes potential applications, use cases, challenges, and regulatory considerations for brokerage firms concerning metaverse developments
SEC chairman covered developments in equity market structure, central clearing, short selling, and digital engagement practices