FINRA

With an April 1 deadline nearing, the window of opportunity to take advantage of FINRA’s self-reporting initiative for 529 plans is rapidly closing (BD Watch, ...

FINRA is looking to hear from broker-dealers that have had to activate their business continuity plans and whether the implementation of the BCP ultimately proved ...

A year after FINRA proposed an ill-fated overhaul, regulation of outside business activities and private securities transactions seems to be back with a vengeance.   ...

It goes without saying that you should be scrupulously reviewing and retaining business-related e-mails. But when FINRA staff makes a point of telling you to ...

FINRA is again questioning the due diligence firms are conducting on private placement offerings (BD Watch, Dec. 20, 2018). But what exactly does the SRO ...

FINRA is taking a page from the SEC’s playbook in announcing Jan. 28 a self-reporting initiative tied to share class recommendations. Under the SRO’s 529 ...

FINRA sees growing problems with reps’ discretionary trading, and the range of conduct under scrutiny is broad. The SRO identified discretionary account abuse in its ...

The warning system at Cetera Advisor Networks flashed red: a highly productive rep appeared to be engaged in questionable trading.   Hundreds of electronic alerts ...

Gauging the talents of newly qualified reps is never easy. Now, FINRA has taken a step that may make the exercise even more daunting.   ...

Thinking about hiring a FINRA employee? You might want to think again.   The SRO is tightening conflict of interest rules for ex-officers and other ...