FINRA

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 ...

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 ...