Broker-Dealers

Broker-dealers typically have trade surveillance and asset movement surveillance functions within their compliance structure

FINRA investigative director offers tips to address new account, ACATS, and ACH frauds

FINRA and CISA extended a warning to all firms using Fortinet's FortiManager

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

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