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Of the two dozen focus areas identified in new FINRA report, AML garners the most ink from the SRO
The communications preservation obligation spans the likes of e-mails, instant messages, text messages, chat messages, and interactive blogs
OFG Financial Services only reviewed 0.26% of the e-mails its reps sent or received over a four-year period
Report addresses a materially broader range of topics than in prior years with two dozen focus areas flagged
Cyber is flagged as a "selected highlight" in FINRA's new Examination and Risk Monitoring report as risk increases
Small-cap IPOs are increasingly being affected by the "ramp-and-dump" schemes
New guidance covers the perceived benefits, common types of succession plans, an overview of related rules and questions to consider
Positions resulting from stock loan activity are not considered reportable under rule 4560 as short interest by the SRO
FINRA changes to the regulatory element and the firm element come with a Jan. 1 effective date
FINRA initiative is aimed at saving time, reducing costs and aiding in risk management for broker-dealers' compliance and legal staff