FINRA

Enforcement actions have the benefit of giving you a road map on how to address supervisory and other problems perceived by your regulator. But failing ...

FINRA has advanced a proposal representing one in a series of regulatory initiatives the SRO is considering related to the customer dispute expungement process. On ...

FINRA appears intent on strictly enforcing OBA/PST rules even as it has targeted the regime for a retroactive review (BD Watch, 12/7/2017). Here are some ...

In a nod to advances in communications technology, increased acceptance of flexible work arrangements and the costs affixed to on-site inspections of remote office locations, ...

FINRA promises you a “safe harbor” when you put temporary holds under new rule 2165 on disbursements when you perceive a senior customer being exploited.  ...

FINRA has moved to tackle the issue of unpaid customer arbitration awards. Acknowledging that it can be difficult for customers to collect from broker-dealers or ...

FINRA encourages firms to use new powers to hold up disbursements that seem exploitative to senior customers. But “savvy bad guys” are finding a new ...

FINRA requires that you request a Trusted Contact for “each account” of a client 65 years and older under its new senior investor protection rules ...

How safe is the safe harbor FINRA is promising you under new rule 2165 (financial exploitation of specified adults)?  Jim Wrona, FINRA vice president and ...

Under FINRA’s new senior investor protection rules, it’s clear that the new Trusted Contact requirement applies only to non-institutional customer accounts. But what about trust ...