FINRA

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 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

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

The firm was further dinged for improperly permitting one of its FAs to engage in securities activities with and for persons in the U.S., when ...

Examiners looking to determine what kinds of controls firms had in place to ensure that data and information provided to publishers are accurate

FINRA charged the firm failed to establish WSPs reasonably designed to comply with the SRO's fingerprinting requirements