FINRA

Memo to FINRA as it contemplates ways to monitor and adapt its rules and regulations to the exploding number of FinTech innovations: Tread lightly, please. ...

It’s a common complaint, often dismissed by regulators: small firm managers are disciplined relatively more severely than their counterparts at larger firms (BD Watch, May ...

How FINRA calculates fines has always been something of a mystery – and a source of industry frustration. Now, the SRO seems to be making ...

Having recently revamped its enforcement efforts, FINRA is now taking aim at its disjointed examination program. Details have been hard to come by since the ...

FINRA has determined to address arbitration forum users’ concern that non-parties wanting to object to an order or subpoena have insufficient time to do so. ...

Cadaret Grant & Co. has 930 registered reps and investment advisers located in 500 branch offices across 27 states. But the salient number for FINRA ...

FINRA is finally wising up to the potential of new technologies that assist firms in meeting their compliance obligations. Unfortunately, it is also leery of ...

It was billed as the first disciplinary action by FINRA involving cryptocurrencies. But at essence, the case against Timothy Tilton Ayre boils down to allegations ...

Just when you thought FINRA could not possibly extract more large fines in connection with the Order Audit Trail System more damage is being reported ...

We’ve written before about the old wire transfer scheme: an imposter hacks into a customer’s e-mail account to make unauthorized third-party withdrawals (BD Watch, July ...