FINRA

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 ...

By all accounts, FINRA’s risk-based examination program has been a success. Using analytics, the SRO is zeroing in on a handful of topics to review. ...

Take some tips and insights on current exam hot topics heard at FINRA’s recent Washington, D.C., conference: Complex Products New product vetting “is a piece ...

Morgan Stanley Wealth Management recently added a Culture, Values and Conduct Committee to its Enterprise Risk Management framework to help build a better culture of ...

Responding to deficiencies identified by your regulator with concrete remedies is critical. Actually implementing the pledged solutions on a timely basis is even more important. ...

A highlight of FINRA’s annual spring conference is when firms get a chance to turn the tables on top officials of the SRO and ask ...

FINRA has finally moved on a rule revision ultimately aimed at increasing investors’ awareness and access to BrokerCheck. On May 27, the SRO filed the ...