FINRA

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 ...

FINRA has once again turned to a former director of the SEC’s Trading and Markets division to lead the organization. The SRO announced June 13 ...

FINRA is increasingly targeting branch-office inspections. The topic ranked fourth in a discussion of “Top Regulatory Concerns” at the SRO’s recent annual conference in Washington, ...