FINRA

This is a copy of parts of FINRA's risk control assessment survey. The full survey can vary depending upon the online answers the respondent provides. ...

Your firm might be able to shield itself from class-action customer complaints if a new legal battle goes a certain way. While a plus for ...

A change FINRA has proposed to its arbitration system would assure that employees would have a right to file more kinds of claims against your ...

FINRA appears to have dropped a proposed provision that would have required broker-dealers to subject internal training materials to the same approval and record-keeping requirements ...

Turns out those IRS-990 forms can be tricky to read. Last week we reported on FINRA's latest 990, including its lobbying expenses for 2010 (IA ...

Press reports have shined a light of late on FINRA's lobbying efforts, tying it to the SRO's desire to oversee investment advisers. But an analysis ...

That highly publicized regulator-on-regulator enforcement action last month - the SEC slapping FINRA for a third incident in eight years that SRO staff gave the ...

Securities lawyers had varying opinions on the impact of last week’s federal appeals court decision that prohibits FINRA from using the courts to force rule-violators ...

The internal materials you use to educate and train your reps on your firm's services and products would be subjected to the same approval and ...

On Sept. 26th, FINRA rule 5131 - the anti-spinning rule - takes effect. While it's aimed at broker-dealers, compliance with it creates headaches for fund ...