FINRA

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 ...

Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches ...

Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)

Change may be coming to FINRA’s public communications and gifts, gratuities and non-cash compensation rules. The SRO has issued two retrospective rule review reports assessing ...

2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule

The annual financial report previously released by FINRA showed 2013 was a good year for the SRO (IA Watch, July 7, 2014). Now, according to ...

SIFMA continues to hammer away at FINRA’s controversial CARDS proposal (IA Watch, Dec. 4, 2014). This time the ammunition being used to combat the proposal ...