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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
Growing threat of new accounts being opened online or through mobile apps using stolen or synthetic identities
Typically, the SRO brings roughly 400 to 550 enforcement actions against individual brokers in a given year
The guidelines were revised in seven respects and detail what are considered the "most serious violations"
Case calls out need to lock down the supervision of employee' business-related text messages, including those involving senior management
Financial Services' Republicans see 'a backdoor accredited investor standard'