FINRA

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, ...

I want to congratulate FINRA and Robert Cook on his selection as President and Chief Executive Officer. Robert served the Securities and Exchange Commission with ...

FINRA is focusing on 15 large broker-dealers as part of its review of firm culture—but all firms facing a regular exam this year should be ...

With more than 40 sessions on regulatory developments and priorities, FINRA’s annual conference is a smorgasbord for hungry compliance officers to feast on.  Here are ...

Remarks From the 2016 FINRA Annual Conference

FINRA has backed changes in its gifts and entertainment rules that would update a two-decade old limit and offer firms the hope of less paperwork ...

Explosive growth at Raymond James between 2006 and 2014 came with a cost. A significant size increase over the eight-year period—from 2,298 registered persons in ...

Scottsdale Capital Advisors, seeking to head off a disciplinary hearing, asked a federal appeals court to expedite its suit claiming that FINRA lacks authority to ...