FINRA

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 ...

Come next June, broker-dealers will be required to include on their websites a “readily apparent reference” and hyperlink to BrokerCheck. FINRA posted on Dec. 7 ...

FINRA’s cleaning out its stable of old regulations. The agency’s board proposed eliminating a handful of filing requirements under its Communications with the Public rule ...

Beginning this month, investors will now have quicker access to disclosure information reported on Form U5. The SEC has approved a change to FINRA rule ...

The number of cause exams conducted by FINRA is down sharply, reflecting an easing of investor complaints against broker-dealers and reps in the wake of ...

FINRA has adopted a new rule under which the SRO will designate certain broker-dealers for mandatory participation in business continuity and disaster recovery testing. The ...