FINRA

It’s been nearly two years in the making but FINRA is now moving on proposed amendments and new rules tied to gifts, gratuities and non-cash ...

Concerns about the fallout from a line of judicial decisions addressing broker-dealers use of arbitration forum-selection clauses in customer agreements has triggered a regulatory notice ...

The SEC’s auditor independence rules, enforced since 2014 by the Public Company Accounting Oversight Board, have been a headache for auditors and their broker-dealer clients ...

You can expect a phone call from FINRA if you are not explicit in your Form U5 filings about the reason for a termination. Last ...

FINRA has no qualms about aggressively prosecuting AML cases involving the microcap business. That message was delivered by the SRO’s enforcement executive VP Brad Bennett ...

What are the priorities for FINRA’s market regulation department? Where will its vaunted surveillance group turn up next? What should you expect from its new ...

Remarks: National Financial Capability Study Release

Where are small firms most apt to get into trouble at exam time? What are the most effective practices for heading it off? Here are ...

Here’s a rundown of the “Ask FINRA Senior Staff” Q&A session at the SRO’s recent annual conference. Culture Officials again attempted to calm fears that ...

FINRA recently released FAQs to supplement the guidance the SRO provided in a January Trade Reporting Notice addressing a firm’s OTC equity trading and reporting ...