FINRA

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

Feedback sought on younger, novice investors and those not working with a registered investment professional

New FINRA regulatory notice focuses on minimum equity

Online B-D's troubles may just be beginning

SRO expanding its recruiting efforts to ensure attracting candidates with diverse skill sets

Adviser, now under court-appointed monitor, blames expiration of credit facility