FINRA

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 ) ...

2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board

Upcoming FINRA Board of Governors Election Petitions for Candidacy Due: June 11, ...

The SEC’s stated 2015 examination priorities squarely include examining issues of importance to senior investors (IA Watch, Jan. 19, 2015). Both the Commission and FINRA ...

FINRA and the Securities and Exchange Commission (SEC) issued a report to help broker-dealers conduct an analysis for assessing, crafting, or refining their policies and ...