FINRA

Remarks at SIFMA Anti-Money Laundering and Financial Crimes Conference

FINRA has issued a new report assessing the potential operational and regulatory impact of blockchain technology. The report provides a basic overview of blockchain technology ...

The failure of a registered rep to disclose material information on Form U4 is among the most common and consequential of enforcement actions that FINRA ...

Statutory disqualification rules most profoundly affect individuals who fail to disclose a DUI or a tax lien. But firms have duties, too. Here are some ...

The crowdfunding world has its first major casualty: an online funding portal that allegedly ignored myriad warning signs of issuers looking to raise money from ...

FINRA has been relatively patient as firms have built their cyber defenses even as a growing number suffer devastating attacks. But there is a line, ...

Failing to supervise your reps’ use of consolidated reports will cost you. Wells Fargo Advisors has agreed to pay a $1 million fine to settle ...

The parade to the exits continues for high level securities regulators. The latest to announce his departure by “early next year” is FINRA’s Chief of ...

A proposed rule change aimed at providing broker-dealers with a way to quickly respond to situations in which they have a “reasonable basis” to believe ...

The SEC approved Oct. 19 a FINRA rule proposal that will require broker-dealers to report transactions in U.S. Treasury securities through the TRACE system. A ...