FINRA

Increase in electronic trading a factor in FINRA proposing reducing the trade reporting timeframe for TRACE-eligible securities

If approved, the amendments would extend FINRA oversight to potentially dozens of additional broker-dealers



SRO has seen an increase in the number of reps forging or falsifying customer signatures through third party digital signature platforms

"required FINRA membership for many of these currently-exempt firms would help enhance robust and consistent oversight"

"the proposal seems incompatible with a world in which multiple national securities associations operate. Rather, the proposal seems more likely to entrench FINRA further as ...

B-Ds automated surveillance system produced up to 500,000 alerts for manipulative trading per year

U.S. adults were able to grow their personal finances during the pandemic despite myriad economic disruptions

After nearly 600 examinations, FINRA has signaled changes to the focus of Reg BI and Form CRS exams are afoot

FINRA charges the firm sent its customers 270 million inaccurate trade confirms dating back from November 2008 through the present