FINRA

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

Sherlock Holmes famously solved a case by listening for a dog that didn’t bark. Since the early days of the coronavirus crisis, a deafening silence ...

Large size broker-dealers will be allowed to comply with Consolidated Audit Trail requirements over a new, phased timeline, and small-to-medium sized firms that had been ...

SRO reviewed B-Ds ongoing efforts and challenges with Reg BI

The SRO will take the same approach outlined in the Commission's two risk alerts

IT professionals across the financial services industry are taxed to the max