FINRA

"I am supportive of greater post-trade transparency in the Treasury markets, which should benefit investors and issuers alike"

FINRA's annual regulatory oversight report highlights new best execution questions you should answer, including on execution quality reviews

A voluntary, three-year remote inspections pilot program allowing for fulfillment of inspection obligation of qualified branch offices is adopted

'Reasonable basis' standard still leaves open questions

Topics flagged as "new for 2024" include crypto, OTC quotations in fixed income securities, advertised volume and the market access rule

Brokerage firms contemplating making Regulation Crowdfunding offerings available on their platform to customers need to notify SRO

"Effective practices" highlighted for incident preparation and response, the reporting of cyber incidents, and available resources and contact information

Four broker-dealers were charged by FINRA with violations relating to fully paid securities lending

Smaller firms comprise 90% of FINRA’s membership—posing unique challenges for the SRO when it crafts its rules

FINRA is in the throes of developing an online, centralized content catalog that broker-dealers can optionally leverage to administer education and training for their continuing ...