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SRO's new type of exam review focuses on a business area or a product in which FINRA sees heightened risk
FINRA's Financial Intelligence Unit delivers threat intelligence products to communicate threat guidance to the industry
A market maker in OTC securities was charged with failing over a two-and-a-half-year period to provide best execution with respect to 1,674 orders
The Commission's economic analysis of the Regulation Best Execution proposal is "fundamentally flawed," in former Chief Economist's opinion
741 firms opted in to participating in the initial phase of FINRA's remote inspections pilot program
FINRA alerts B-Ds to Form BR functionality enhancements for initial Form BR submissions and updated residential supervisory location FAQs
New notice covers this year's CE Regulatory Element training assignments and calls out the Dec. 31 completion deadline
Having P&Ps in place to address OBA requirements falls short: the policies must be enforced
Despite the numbers of broker-dealer firms continuing to fall, reps serving the brokerage industry have hit their highest level in five years
Barclays twice self-reported violations of the rules relating to research analyst conflicts of interest leading to a $700K fine