FINRA

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 ...

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2015 ...

SEC Approves Supplemental Inventory Schedule Implementation Date: The initial Supplemental Inventory Schedule ...

Regulators are fully dialed in to high frequency and algorithmic trading as a focus area. Last week’s “first-ever” market manipulation case against a high-frequency trader ...

Despite revisions instituted to placate initial dissention, FINRA’s controversial Comprehensive Automated Risk Data System is still being widely panned. The SRO’s new CARDS rule proposal ...