FINRA

Moving to a properly designed best interest standard for broker-dealers is a “must” in the eyes of FINRA chairman/CEO Richard Ketchum. At the SRO’s annual ...

Ketchum addresses the fiduciary duty issue and takes aim at the Department of Labor's recent fiduciary duty standard proposal.

Effective immediately, FINRA is ramping up the recommended sanctions imposed on individuals and broker-dealers who commit fraud or make unsuitable recommendations to customers. A periodic ...

Mark Tuesday July 14th on your calendar if you’re a compliance officer at a broker-dealer.   That’s the day the SEC and FINRA will partner ...

Maybe the third time will be the charm for FINRA’s ever controversial Comprehensive Automated Risk Data System. “We will not move ahead with the present ...

The conclusions read like something you would find in an SEC deficiency letter—a program lacking specific goals and measures, documented procedures for certain processes and ...

SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports ...

FINRA Requests Comment on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms ...

You don’t want to mess with FINRA when it comes to rule 8210 (provision of information and testimony and inspection and copying of books ) ...