FINRA

FINRA is concerned that some of its registered reps may be executing customer orders in ways that benefit the reps rather than the customers. The ...

Beginning Aug. 25, FINRA-registered firms will need to have policies and procedures in place to ensure against a "pattern or practice" of self-trades. The SRO ...

SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution ...

If you sell securities via a private placement to a non-accredited investor, you must notify FINRA.This rule applies to offerings made with funds from a ...

We recently shared tips for how investment advisers should conduct their risk assessment (IA Watch, May 5, 2014). Now, we take up the task for ...

SEC Approves Amendments to FINRA Rule 2210 to Exclude Research Reports on Exchange-Listed Securities From Filing Requirements and Clarify the Standards Applicable to Free Writing ...

Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party

Revised Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session ...

Notice of Annual Meeting of FINRA Firms and Proxy

2013 was a good year for FINRA financially. It's flush, with total assets now reaching $2.3 billion, up slightly from $2.2 billion in 2012, according ...