FINRA

SEC Approves Amendments to the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing ...

FINRA Requests Comment on Proposed FINRA Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional ...

FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule Comment ...

Investors appear to be willing to pay for better protection. A FINRA survey released last week reveals that three-quarters of investors would back additional regulatory ...

FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems ...

FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last ...

FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements ...

It looks like interest rate sensitive securities will make a re-appearance on FINRA’s 2015 exam priorities list. A senior FINRA staffer has cautioned that receding ...

FINRA continues to advance enhancements to its risk-based exam program with a view toward being more data driven and automated. “This data driven approach allows ...

SEC Approves Amendments to FINRA Rules 9231 and 9232 to Add a Category of Persons Eligible to Serve as Panelists in Disciplinary Proceedings ...