FINRA

FINRA alerts B-Ds to Form BR functionality enhancements for initial Form BR submissions and updated residential supervisory location FAQs

New notice covers this year's CE Regulatory Element training assignments and calls out the Dec. 31 completion deadline

Having P&Ps in place to address OBA requirements falls short: the policies must be enforced

Despite the numbers of broker-dealer firms continuing to fall, reps serving the brokerage industry have hit their highest level in five years

Barclays twice self-reported violations of the rules relating to research analyst conflicts of interest leading to a $700K fine

The three-year pilot program allows eligible firms the option of conducting inspections of some or all branch offices remotely

The enforcement action yet again offers the lesson learned to continually check the veracity of your automated processes and to scrutinize the work of your ...

Artificial intelligence was flagged as an “emerging risk” in the 2024 FINRA Annual Regulatory Oversight Report and the SRO cautioned that the use of AI ...

FINRA charged TD Ameritrade with not exercising "reasonable due diligence" before approving certain customers to trade options

FINRA exam sweep status update featured questions brokerage firms should consider asking when approving options trading