FINRA

Industry groups and brokerage firms embraced, in theory, a proposed overhaul of gifts and entertainment rules by FINRA, but said regulators should make further changes ...

Examiners are always on the lookout for private securities transactions. And they’re getting better at pinpointing them (IA Watch, August 18, 2016).   There are ...

Since December 2012, when FINRA began requiring firms to file private placement offering documents in its Firm Gateway system, the SRO has received more than ...

FINRA has been beating the drum about liquidity, and it’s getting louder.   The SRO has been expanding its review of liquidity management practices this ...

FINRA has previously issued guidance for managing digital investment tools, including client-facing robo advisors (IA Watch, March 17, 2016). But applying the guidance in practice ...

You can never have too much help getting ready for an exam. Here are some key do’s and don’ts from a top FINRA examiner and ...

Any discussion about transparency in the financial markets is sure to raise vigorous debate, and the current discussion concerning pre-trade price transparency in the bond ...

With the coming mid-November effective date of FINRA’s new rule requiring the delivery of an educational communication in connection with broker-dealer recruitment practices and account ...

It’s been more than a year since FINRA mandated background checks for registered reps for the first time (IA Watch, Feb. 5, 2015). By all ...

Using high-tech methods, FINRA in recent years has been tracking reps’ outside business activities – and firms’ supervision of them – with growing sophistication. Are ...