FINRA

FINRA action is aimed at strengthening rule 3240's general prohibition against borrowing and lending arrangements between registered persons and their customers

FINRA report analyzes potential applications, use cases, challenges, and regulatory considerations for brokerage firms concerning metaverse developments

The firm was further dinged for improperly permitting one of its FAs to engage in securities activities with and for persons in the U.S., when ...

Examiners looking to determine what kinds of controls firms had in place to ensure that data and information provided to publishers are accurate

FINRA charged the firm failed to establish WSPs reasonably designed to comply with the SRO's fingerprinting requirements

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