FINRA

Priorities include protecting investors and markets, enhancing transparency, reducing the time to complete cases, and improving internal collaboration

SRO warns of fraudulent e-mails purporting to be from FINRA and using e-mail addresses designed to look like they are those of FINRA execs

FINRA charges that posts made by influencers on social media sites on behalf of a Texas-based broker-dealer were "not fair or balanced"

Commissioner suggests proposed rule preventing non-lawyers from getting compensated to represent investors in arbitration proeedings could exacerbate problems

Financial services will continue to be hit with the symptoms of the cyber threat, including ransomware, account takeovers, identity theft, and data breaches

New FINRA case adds the new twist of charges against both the firm and a specific person

"A proposed FINRA rule could exacerbate the problem by preventing non-lawyers from getting compensated to represent investors in arbitration proceedings"

The "biggest and most powerful" implementation being seen so far with AI is efficiency gains

When it comes to AI, the use of third-party vendors is the current, primary driver, making supervision critical

Bill St. Louis recently detailed what's on the horizon for broker-dealer enforcement in 2024