FINRA

FINRA officials appear headed back to the drawing board in the wake of unexpected opposition to a proposal to eliminate firms’ obligations to supervise third-party ...

It’s not every day that your chief regulator subjects himself to open-ended questioning in a public forum. But that’s what FINRA President/CEO Robert Cook did ...

Who could argue with scaling back supervisory obligations pertaining to outside business activities and private securities transactions? More people than you might think. A FINRA ...

FINRA has said that compliance with market access rules has become an issue in a growing number of exams (BD Watch, Dec. 14, 2017). The ...

Testifying as part of a FINRA proceeding does not equate to providing information to the SEC, a federal judge held, declining to expand protections for ...

DreamFunded Marketplace touted itself as “a world-class equity crowdfunding platform.” The dream died. FINRA filed a complaint against the San Francisco-based funding portal, alleging violations ...

Brokers with a checkered past have been shown via recent studies to be risks going forward. FINRA—concerned about the penchant for repeated disciplinary actions, arbitrations ...

The first year of “FINRA360”—the SRO’s ongoing organizational review aimed at improving efficiency and operations launched in March 2017—is already resulting in “significant change” across ...

Broker-dealers’ should ensure their anti-money laundering programs are updated, as necessary, by May 11 to comply with the Financial Crimes Enforcement Network’s rule on Customer ...

FINRA wants to know if its rule requiring each registered rep and principal to participate in annual compliance meetings has furthered the supervision of registered ...