FINRA

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 ...

It was the very first priority revealed in FINRA’s exam priorities letter released at the start of the year—devoting attention to firms’ hiring and monitoring ...

Long a source of suspicion and frustration for the industry, FINRA officials are pledging to be more transparent about their enforcement efforts. Officials pulled back ...

Remarks at IRI Government, Legal and Regulatory Conference

Protecting Investors From Bad Actors

The “Ask FINRA Senior Staff” panel concluded the SRO’s annual conference again this year, giving firms the rare opportunity to put the regulator in the ...

Ongoing reviews of FINRA’s examination and enforcement programs are part of an over-arching “top-to-bottom” review of the SRO’s organization-wide operations currently underway, which are already ...

FINRA wants to hear from the industry on its current rules governing outside business activities and private securities transactions. The effort is part of the ...

Remarks From the 2017 FINRA Annual Conference