FINRA

The SEC approved Oct. 5 FINRA’s rule proposal to streamline competency exams and expand opportunities for prospective securities professionals seeking to enter or re-enter the ...

It seems simple enough. Starting Feb. 5, you will have to make reasonable efforts to obtain Trusted Contact information for senior accounts. But FINRA leaves ...

The first phase of data reporting for the Consolidated Audit Trail scheduled for the middle of next month coupled with the recent announcement of the ...

FINRA and the SEC have simultaneously released FAQs tied to rule 4210 and Exchange Act rules 15c3-1 (net capital rule) and 15c3-3 (customer protection), respectively, ...

Equity Market Surveillance Today and the Path Ahead

Staff at C.L. King & Associates, a New York-based broker-dealer, knew that the unidentified hedge fund manager who opened joint accounts with terminally ill persons ...

As part of its stepped-up scrutiny of high-risk brokers, FINRA is preparing new guidance on what firms should be doing to exercise heightened supervision of ...

Testimony Before the Subcommittee on Capital Markets, Securities, and Investment Financial Services Committee

Between crowdfunding portals and slimmed-down rule books for specialized brokers, FINRA has been easing regulations related to capital-raising. And more may be on the way. ...

Thinking about hiring a high-risk broker? You may want to think again. Already the top-listed item in its 2017 annual priorities letter, FINRA continues to ...