FINRA

Remarks: New Special Study Conference

FINRA calls it its “Engagement Initiative.” But think of it this way: a chance to influence the agenda of the SRO’s new top leadership.   ...

FINRA has filed a proposal with the SEC to streamline competency exams and facilitate opportunities for those who seek to enter or re-enter the securities ...

Recently, a top FINRA official observed that broker-dealers “have more work to do” when it comes to their anti-money laundering compliance programs (BD Watch, Feb. ...

Expect FINRA to move forward soon with a proposal to streamline its corporate financing rule. It is part of the SRO’s retrospective rule review process. ...

Sending routine account notices should be, well, routine. But programming errors and supervisory glitches can trump the best of intentions. And it will cost you. ...

FINRA’s exam priorities letter could not be clearer: “Protecting senior investors will remain a top priority in 2017.”  But a series of recent enforcement cases ...

FINRA has published FAQs to assist broker-dealers with the reporting of Treasuries transactions to TRACE. The SRO notes that the participation agreement will be updated with ...

Three years into its overhaul of its arbitration system, FINRA continues to make progress with improving transparency and fairness in the system. In an 11-page ...

Raiding is one way to build your business—but it also has its downside. A FINRA arbitration panel in January ordered Robert W. Baird & Co. ...