FINRA

Aim is to train registered persons more effectively and reduce unnecessary impediments to requalification

The percentage of unpaid customer wards in FINRA arbitration cases is on the rise--increasing to nearly 30% in 2020

SEC to be remote through Jan. 3, sources say

Fraudulent phishing e-mails purport to be from FINRA

Option account opening, account supervision, communications and diligence are the subject of the new FINRA sweep

The imposition of additional obligations on broker-dealers with a significant history of misconduct has been approved

"We intend to monitor this important investor protection issue and will evaluate whether additional steps may be needed to address recidivist firms and brokers"

The new interpretations impact the net capital rule and the customer protection rule

FINRA will implement changes effective Oct. 1 to its private placement rules

SRO is asking B-Ds to "promptly" notify their risk monitoring analyst about digital assets plans