FINRA

FINRA is proposing to revise the suitability rules to “more effectively address instances of excessive trading in customers’ accounts (BD Watch, July 19, 2018).” Not ...

FinTech is transforming the securities industry in many ways and FINRA wants to make sure it’s supporting innovation while still protecting investors and market integrity. ...

It now seems certain that FINRA will be imposing new restrictions on firms that employ brokers “with a history of significant past misconduct.” But how ...

Brokerage firms should be watching out for fraudsters posing as FINRA employees and requesting confidential information “for no apparent regulatory reason,” the SRO warns in ...

At its launch in 2010, on-line wealth manager Betterment made a big splash with its idea of using software algorithms and technology to manage customer ...

FINRA has a plan for cracking down on what it sees as a growing problem with churning: Change the rules of the game to make ...

In February, Susan Schroeder, EVP of enforcement at FINRA, outlined a series of broad principles that guide her division to identify and crack down on ...

New customer due diligence rules became effective May 11, and by all accounts, the industry is still standing (BD Watch, April 26, 2018). But are ...

Trade reporting demands are rising on several fronts, and FINRA is finding new ways to use the data to keep tabs on firms and markets. ...

Ask Senior FINRA Staff is the last, and often most highly anticipated session at the SRO’s annual conference. Here are some highlights from this year’s ...