FINRA

Many small B-Ds will have to strengthen checks of registration applicants under an SEC-approved FINRA rule that goes into effect July 1. And though the rule only ...

A federal jury in Florida Jan. 28th found that Jill Wile, a former FINRA deputy regional director, was not a victim of age and sex ...

FINRA spells out the benefits of strong supervisory systems as a key protection against inadvertent harm to customers in its 2015 exam priorities letter (IA ...

Think FINRA is serious about outsourcing breakdowns? Ask Thrivent Investment Management ($90.4 billion in AUM).   In November, the SRO fined the Minneapolis dual-registrant $375,000 ...

New Rate for Fees Paid Under Section 31 of the Exchange Act ...

Boost your firm’s exam prep by getting “ahead of the concerns raised in” FINRA’s 2015 exam priorities letter, which was released Jan. 6. It cautions ...

As predicted, the issue of cybersecurity has once again made an appearance in FINRA’s 2015 regulatory and examinations priority letter (IA Watch, Nov. 25, 2014). ...

Surveillance for all equities and options trading in the U.S. will be done by FINRA. As of this year, the SRO began to provide market ...

SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities ...

Misinterpreting the rules of your regulator can be costly. Pershing learned that lesson the hard way after staff misinterpreted certain aspects of the SEC’s customer ...