FINRA

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 ...

It has been almost five years since FINRA provided guidance on funding and liquidity risk management practices. Given the recent trembling markets, this may be ...

Regulators have made it clear they want brokers and advisers to do a better job for senior investors. And they are taking action against those ...

As FINRA scrutinizes how firms are handling conflicts, and the SRO has made addressing them an explicit part of the supervisory mandate in rule 3110, ...

Five years after Regulatory Notice 10-19, FINRA sees continuing problems with the use – and, in its view, abuse – of consolidated reports. Examiners are ...

It’s no secret that microcap securities are in the cross-hairs of regulators (IA Watch, Jan. 12, 2015). Broker-dealers face due diligence obligations under anti-money laundering ...

Avoid falling short when it comes to the new supervision rules. Heed advice from FINRA Midwest Regional Director Ed Wegener. First, tailor your P&Ps to ...