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Last year, there were 3,435 FINRA-registered broker-dealers, a 2% decline from the prior year
FINRA says new rules seek 'balance' between investor protection, defamation
FINRA seeks feedback on diversity issues by the end of June
Fraud committed against firms and their clients "at a much larger scale than ever before"
RCW has obtained a copy of a recent FINRA document request letter for an exam that focused largely on Regulation Best Interest
The SRO is seeing customer agreements containing provisions that run counter to its rules
A peer shares a copy of the FINRA exam letter that focused on Reg BI compliance
SRO has received good feedback, both internally and externally, on exams restructuring
he remote working environment has caused new cyber concerns to emerge
SRO is urging firms to evaluate and, as appropriate, mitigate the financial risks of ACH abuse