FINRA

SRO reveals current enforcement, examination and rulemaking priorities

FINRA would like to see firms consider the practices identified

The firm's compliance department knew it had monitoring issues

The SRO issued $39.5M in fines to B-Ds last year

A routine FINRA cycle exam uncovered the issues

Senior investor issues have been a FINRA exam priority in every one of the SRO’s annual priorities letters since 2014. Its Risk Monitoring and Examination ...

FINRA’s overarching take is that broker-dealers must supervise reps’ live meetings with customers via video “in a manner reasonably designed to achieve compliance with applicable ...

Moloney’s case shows once again how seriously the SRO takes suitability cases involving senior investors

FINRA and the other SROs are now on the clock to publish their plans for the looming consolidated audit trail requirements after a divided Commission ...

FINRA is uniquely qualified to provide the Commission with a familiar and consolidated platform for standalone SBSEs and bank SBSEs to file the FOCUS Report