FINRA

FINRA is dialed in to ensuring a consistent approach to enforcement so that you know what you can expect from the SRO and then can ...

A FINRA proposal giving broker-dealers the flexibility to conduct remote inspections of “qualifying offices” is getting qualified support from your peers. Their question: Good start, ...

FINRA wants to make it much harder for you to get customer dispute information removed from its public registration system. Your peers are doing all ...

Despite revenue challenges and regulatory responsibilities that FINRA says are “as extensive and complex as ever,” the SRO won’t turn to an increase in firm ...

To their supporters, compensated non-attorney reps—aka NAR firms—are one of the few ways that a small investor can recoup losses in arbitration. To their detractors, ...

A new, toll-free helpline dedicated to small broker-dealers is the latest in a laundry list of recent actions taken by FINRA to enhance the support ...

From a compliance perspective, anti-money laundering programs have always drawn special attention. AML was recently highlighted by FINRA in its first-ever consolidated exam findings report ...

Often lost in the shuffle when FINRA releases its annual regulatory and examination priorities letter is the regulatory component of the guidance. While the 2018 ...

FINRA released Jan. 3 timely FAQs for rules relating to the financial exploitation of seniors that kick in on Feb. 5 (BD Watch, Apr. 7, ...

FINRA is proposing a “streamlining” of rules covering outside business activities, responding to long-standing industry concerns, as well as a separate plan to strengthen its ...