FINRA

A market maker in OTC securities was charged with failing over a two-and-a-half-year period to provide best execution with respect to 1,674 orders

The Commission's economic analysis of the Regulation Best Execution proposal is "fundamentally flawed," in former Chief Economist's opinion

741 firms opted in to participating in the initial phase of FINRA's remote inspections pilot program

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 ...