FINRA

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

"I am supportive of greater post-trade transparency in the Treasury markets, which should benefit investors and issuers alike"

FINRA's annual regulatory oversight report highlights new best execution questions you should answer, including on execution quality reviews

A voluntary, three-year remote inspections pilot program allowing for fulfillment of inspection obligation of qualified branch offices is adopted

'Reasonable basis' standard still leaves open questions

Topics flagged as "new for 2024" include crypto, OTC quotations in fixed income securities, advertised volume and the market access rule