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New topics include the handling of trusted contact persons, the disclosure of order routing, and portfolio margining
'Train's moving,' expert warns
The proposed amendments retain the contours of rule 3240, strengthen its general prohibitions and modernize the "immediate family" exception
Birdthistle mixed it up in battles over proxy voting, fees and ESG
Regulators seek trading documents, P&Ps, internal communications
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