FINRA

A recent FINRAsettlement shows clearly the perils of a compliance officer having designated supervisory responsibilities over certain firm operations - especially over activities conducted by ...

Firms are grappling with a provision in FINRA's new suitability rule that categorizes an explicit recommendation to hold securities as one that must comply with ...

Some firms had complained that FINRA's rule requiring the reporting of a lien against a rep within 30 days of the ruling was unfair - ...

FINRA sanctions and fines for 2012 will surpass those for 2011 if the SRO continues its activity at the current pace, according to a new ...

FINRA CEO Richard Ketchum has repeatedly stated that firms are going to need to identify their significant conflicts of interest and figure out how they're ...

For those who believe FINRA wishes to be the SRO for investment advisers because it needs the money from a fresh crop of registrants, a ...

Consider conducting unannounced inspections of your branch offices on a random basis - as opposed to relying just on a triggering event. That's a change ...

If you have a FINRA exam on July 9th or later, brace for examiners to check your compliance with new suitability rule 2111, a senior ...

Make sure your firm has a supervisory system to prevent reps from marketing and selling to non-accredited investors those products specifically designed for accredited investors. ...

Dually registered firms were asked to respond by last week to FINRA's voluntary request that each submit online the SRO's new Risk Control Assessment (RCA) ...