FINRA

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 ...

FINRA took the first steps towards overhauling its troubled arbitration system with the release of a task force report urging a big pay hike and ...

FINRA is uncorking a new report card in the New Year aimed at helping broker-dealers identify and prevent manipulative trading activity such as spoofing and ...

Accordingly, the staff will not recommend enforcement action to the Commission under Rule 17a-5 or Rule 17a-12 if a broker-dealer or OTC derivatives dealer files ...

Broker-dealers should make sure they’re in compliance with the requirement in Regulation NMS rule 603(c) that firms provide a consolidated display of market data when ...