FINRA

FINRA’s focus on high-risk brokers and the payment of arbitration awards by firms and individuals continues at the SRO. On the heels of a July ...

Big changes in outside business activity regulation are coming – at least if commentators on the subject of FINRA’s latest retrospective rule review have their ...

Recently, a FINRA official offered a road map for getting through your next exam – what examiners will be looking for, and how you can ...

In March, as part of a top-down review launched by CEO Robert Cook, FINRA sought public comment on its “engagement” programs (BD Watch, March 23, ...

Broker-dealers are now off and running with the new requirement to report transactions in U.S. Treasury securities through FINRA’s Trade Reporting and Compliance Engine (BD ...

With FINRA using data analytics and other high-tech tools that zero in on risk, the exam process is now more focused than ever. That means ...

FINRA’s operating revenues declined $54.1 million last year—a 6% decrease—according to the SRO’s 2016 Annual Financial Report released June 30. President/CEO Robert Cook attributed the ...

How does FINRA prepare for an exam? What are examiners looking for once they knock on your door? Here’s a peek into one senior examiner’s ...

Consider the cross-winds in advertising regulation. The burden, when it comes to the volume of filings required by FINRA, is going down, but the risks, ...

More report cards are on the way – as are “heat maps” for setting exam parameters. Regulators are not looking to “nit pick,” however, and ...