FINRA

We’ve written about the perils of getting sued for defamation over Form U5 statements, and how to minimize your exposure (IA Watch, June 9, 2015; ...

In its 2016 exam priorities, FINRA says it will focus on private placements, including suitability, disclosure and due diligence. No surprise there. Private placements have ...

Customers win about half the time when they take claims to FINRA arbitration panels. But what amount of damages do they actually receive? In many ...

Remarks From the Exchequer Club

Carlo di Florio’s move from heading OCIE to being FINRA’s chief risk officer in 2013 is paying off (IA Watch, May 13, 2013).   According ...

After years of urging firms to develop a culture of compliance, FINRA is moving the issue front-and-center in its 2016 exam priorities (IA Watch, Jan. ...

Get ready for new restrictions on political contributions – and the possibility they could be implemented by the November election. At long last, FINRA is ...

FINRA will make the treatment of seniors and other vulnerable investors a top priority this year. In its new 2016 Regulatory and Examination Priorities letter ...

There’s a lot that’s new in FINRA’s 2016 exam priorities letter. Data quality, internal audit and client on-boarding are “in” compared with the 2015 letter ...