FINRA

Memo to FINRA re blockchain: regulate the impacts, not the technology, and then proceed with caution. That’s the upshot of comments FINRA received in response ...

The SEC and FINRA will once again combine forces to bring a national compliance outreach program to broker-dealers. Registration, which is limited to the first ...

Your peers have cheered a proposal from FINRA to provide a new exception to the prohibition on projecting performance – and are urging regulators to ...

A former rep with a prior FINRA settlement on his record for violating the SRO’s suitability rules has now run afoul of the SEC for ...

If your firm or its associated persons intends to communicate regarding firm business through a text messaging app or chat service, first ensure that you ...

You now have more time to voice your opinions on FINRA’s “engagement initiative,” which was recently announced (BD Watch, March 23, 2017). The 30-page special ...

FINRA has simultaneously released three regulatory notices related to broker-dealers’ participation in the capital formation process. The SRO is seeking comment by May 30 on ...

Come next February, broker-dealers will have a few more tools in their arsenal to protect their senior customers from financial exploitation. The SEC March 30 ...

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.   ...