FINRA

FINRA, in its 2019 exam priorities letter, expressed concern about self-dealing behavior by reps acting as fiduciaries (BD Watch, Jan. 24, 2019). The SRO may ...

The potential liability of compliance officers may be waning, but there are still some egregious cases where mischief leads to deep trouble for a compliance ...

It’s not news that getting a client to loan you money or becoming a beneficiary of his or her estate is almost always a sure ...

A proposal from FINRA to clamp down on broker-dealers with chronic disciplinary problems has been criticized as regulatory overkill and singularly unfair to small firms. ...

Questions have swirled in the industry around the application of the federal securities laws and FINRA rules regarding the custody of digital asset securities. In ...

You’re at a small firm and examiners are coming in. What are the issues they are most likely to surface, and what’s the best way ...

FINRA expects its expenses will again exceed its operating revenues this year. The SRO’s recently released 2018 annual financial report outlining financial operations for the ...

Is FINRA’s consolidated enforcement function a good thing for the industry? Early signs suggest optimism.   An impetus behind the overhaul was concern that a ...

As in past years, FINRA’s annual conference in May concluded with an open-ended Q&A with senior staff of the SRO, in effect an opportunity for ...

At least at its annual conference, FINRA goes all out to keep its customers happy. A survey of last year’s event, for example, found one ...