FINRA

In new guidance released May 6, FINRA is offering nearly 100 anti-money laundering “red flags” that broker-dealers should be watching for. Way back in April ...

For two straight years, FINRA has flagged anti-money laundering among its most concerning exam findings (BD Watch, Dec. 20, 2018). But there’s plenty of evidence ...

FINRA is putting its money where its mouth is when it comes to assisting broker-dealers in improving their compliance. Last year, the SRO spent $7.3 ...

In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording firms the option ...

The rules for statutory disqualification are straightforward enough. Willfully violate the securities laws or commit a felony and you’re subject to disqualification. Still, you’ve to ...

FINRA’s recently released 2019 Annual Budget Summary calls out that the SRO’s regulatory responsibilities remain “extensive and complex” and continue to expand. In a letter ...

How do you get socked with a $100,000 fine for violations involving less than 1% of your revenue?    The answer shows the continuing importance ...

They are, in the words of one moderator at SIFMA’s annual compliance and legal conference, “the folks … who have the potential to make your ...

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 ...