FINRA

The enforcement action was a long time coming

Proposals address Reg BI, firm misconduct

Changes to FINRA’s rules on who can buy or sell initial equity public offerings or new issues open doors not just for broker-dealers but—potentially—private fund ...

FINRA is wondering if a tougher regulatory scheme for lending arrangements is warranted

Broker-dealers would have more discretion in handling the accounts of vulnerable senior investors under an industry proposal submitted to FINRA. The SRO is conducting a ...

FINRA’s second annual report on the state of brokerage firms, registered reps, and market activity paints a good news, bad news picture. The SRO’s 2019 ...

It’s no secret that the self-regulatory organizations developing the Consolidated Audit Trail have missed a slew of milestone completion dates (BD Watch, Aug. 30, 2018). ...

Concerns about the protection of personally identifiable information included in the Consolidated Audit Trail has long been an issue for regulators and the industry. And ...

FINRA is trying to make it easier than ever for firms to get credit for what it considers “extraordinary cooperation.” Perhaps the best evidence that ...

There’s no mistaking that the protection of senior investors remains a top priority for FINRA. At the start of the year, the SRO flagged the ...