FINRA

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 ...

Consolidation is the hallmark of two recent actions taken by FINRA. The first will ease reporting burdens and compliance costs for broker-dealers, while the impact ...

FINRA is sinking a lot of time and effort into a review of its operations, from the rulemaking process to how it engages with the ...