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The Reg D offerings were conducted without the firm having established pre-existing, substantive relationships with 45 prospective investors
The advisory is aimed at assisting firms in better understanding ransomware tactics, techniques and procedures
FINRA proposes to faciliate centralized access to broker-dealers' order execution quality reports for NMS stocks
The SRO conducts about 1,000 exams each year and executes "several thousand" more cause exams annually
Liquidity stress testing, contingent funding plans, and the maintenance of sufficient liquidity are among proposed requirements
Fines issued by the SRO last year were down a whopping 47% compared to the prior year, report says
The number of brokerage firms has declined 7% over the past five years
FINRA seeks input on SRO's rules, operations and processes that most directly apply to capital raising
Come June 1, FINRA's BrokerCheck will reveal whether a broker-dealer is designated a "restricted firm" under rules 4111 and 9561
FINRA has issued two risk alerts in less than six months cautioning about the risks of ACATS fraud