FINRA

Under pressure from its members, FINRA has revised a proposal requiring members to include a link to the SRO's BrokerCheck service in their electronic communications ...

FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information ...

SEC Approves FINRA Rule Concerning Self-Trades Effective Date: August 25, 2014

New Payments for Market Making Certification Requirement for FINRA Form 211 Effective ...

That new regulatory gesture to expose some of the hidden world of dark pools via weekly data on total shares sold and trades executed on ...

FINRA Announces Updates of the Interpretations of Financial and Operational Rules

FINRA employs 37 people who are dedicated to monitoring the markets for insider trading, revealed Samuel Draddy, senior VP in charge of FINRA's Office of ...

The top three hot topics coming up in FINRA exams are failure to supervise branch offices, the accuracy of consolidated statements of financial condition and ...

Compliance officers are more than a little apprehensive about FINRA's plan to start collecting electronically information that it now gathers during member firm examinations.There was ...