FINRA

Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act

SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants Effective ...

Training is a critical component of any cybersecurity program. FINRA drives this home in its new Report on Cybersecurity Practices. Regulators are backing up this ...

In a settlement that seems to offer an object lesson to those caught in the regulatory crosshairs, Foothill Securities was censured and fined $210,000 by ...

The word-search lexicon at Garden State Securities in Red Bank, N.J., includes “disappointed,” “complaint,” and “regulator” – as well as “off the record” and “talk ...

FINRA is already making good on its promise that examiners will review broker-dealers’ approaches to cybersecurity risk management. The SROs 2015 exam priorities letter notes ...

Tampa-based Cummings Financial Organization launched its social-networking program in 2012 as part of a pilot engineered by its broker, Transamerica Financial Advisors. Its philosophy – ...

Another former SEC staffer is heading to FINRA (IA Watch, May 7, 2013). The SRO is taking steps to improve how it analyzes and uses ...

FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products ...

FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes ...