FINRA

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 ...

You have until the end of November to weigh in on FINRA’s proposed rule focused on protecting seniors and other vulnerable adults from financial exploitation. ...

The SEC finally approved on Oct. 8 an amended FINRA rule 2210 that requires broker-dealers’ websites to include a “readily apparent” reference and hyperlink to ...

The idea to give firms better ways to react to possible mischief with senior investor accounts (IA Watch, Sept. 24, 2015) could relieve them of ...

Expect to soon be asked for your comments on a new rule proposal from FINRA focused on protecting seniors and adults with mental or physical ...