FINRA

A case from this past summer against SunTrust Investment Services ($9.5B in AUM) in Atlanta stands out as unusual because the dual-registrant settled FINRA charges ...

The brokerage industry is fighting hard against a revised FINRA plan to collect data electronically that it now gathers during examinations (IA Watch, Nov. 5, ...

FINRA and the MSRB have released parallel rule proposals intended to make bond pricing clearer to retail investors. The rule would apply to corporate and ...

“Idea dinners” frequented by equity research analysts, institutional clients and sales and trading personnel have landed Citigroup Global Markets in hot water. FINRA has fined ...

If you supervise branch offices and want to be certain you’re doing it right, act like a FINRA examiner. The SRO’s interest in branch office ...

FINRA Reminds Firms of November 25, 2014 Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving

FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities

Four years after the SEC’s adoption of its pay-to-play rule for investment advisers, FINRA is now proposing its own. The SRO’s proposed rule is aimed ...

Neither side is talking for the record but newly-filed court documents describe a deteriorating office environment that ultimately led to the firing of a FINRA ...

FINRA Requests Comment on a Proposed Rule Requiring Confirmation Disclosure of Pricing Information in Fixed Income Securities Transactions ...