FINRA

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 ...

Miriam Lefkowitz, chief legal and compliance officer at Summit Equities in Parsippany, N.J., uses spreadsheets to enforce and update her firm’s WSPs. She creates separate ...

Systemic Order Audit Trail System reporting violations spanning a period of more than eight years have yielded Goldman Sachs Execution & Clearing a $1.8 million ...

It’s not often that the SEC and FINRA share the podium at an industry event with senior officials offering up insights about effective compliance practices. ...

FINRA is taking more baby steps to loosen up its advertising and communications rules. But it is also starting to raise a more fundamental question ...