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2 Mar 2012, 1:15 pm
FINRA Rule 5310 is the new consolidated rule... [read post]
4 Feb 2013, 12:21 pm
FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees in Regulatory Notice 13-07. [read post]
29 Jan 2015, 5:48 pm
FINRA is focused on various sales products for the upcoming year. [read post]
19 May 2023, 2:16 pm
On May 17, 2023, as part of FINRA’s 2023 Annual Conference, staff from FINRA’s Market Regulation and Member Supervision Departments, along with representatives from FINRA CAT, participated in a panel entitled “Consolidated Audit Trail (CAT): What You Need to Know. [read post]
8 Jan 2019, 8:04 am
FINRA has published cybersecurity guidance for all its member firms. [read post]
17 Jul 2014, 9:06 am
FINRA announced today the formation of a 13-member Arbitration Task Force to consider possible enhancements to its arbitration forum to improve the transparency, impartiality and efficiency of FINRA's securities arbitration forum for all participants. [read post]
1 Oct 2017, 7:17 am
Bahgat’s FINRA ban was for avoiding his obligations to provide information and respond to FINRA regulators when conducting investigations. [read post]
31 Mar 2011, 7:37 am
The majority of these changes deal with FINRA's restitution policy. [read post]
24 Sep 2018, 9:31 am
We may be able to get ahead of a FINRA Request by intervening at the firm level.If you have received a document request from FINRA, call our office before responding. [read post]
24 Sep 2018, 9:31 am
We may be able to get ahead of a FINRA Request by intervening at the firm level.If you have received a document request from FINRA, call our office before responding. [read post]
3 Mar 2017, 4:21 am
FINRA collected a record $176 million in 2016. [read post]
26 May 2020, 12:57 pm
Aginhotri, FINRA BrokerCheck, 2020. [read post]
22 Aug 2016, 5:00 am
FINRA said that the rules subject capital acquisition brokers to the FINRA bylaws, as well as core FINRA rules that FINRA believes should apply to all of its members. [read post]
2 Apr 2009, 2:02 pm
Unfortunately the panel's decision is not yet on FINRA's website, and my request to FINRA for a copy has not been honored. [read post]
14 Mar 2016, 10:25 am
This is a new area FINRA is trying to investigate. [read post]
14 Mar 2016, 10:25 am
This is a new area FINRA is trying to investigate. [read post]
25 Jan 2024, 11:40 am
Then, on January 23, 2024, FINRA published a report detailing the results of a targeted sweep examination on customer communications involving crypto assets, finding potential substantive violations of FINRA Rule 2210 in approximately 70 percent of surveyed communications. [read post]
11 Dec 2017, 4:17 am
FINRA issued this report so that firms can gain insight from the work of FINRA’s examination of other firms. [read post]
8 Mar 2012, 5:13 pm
The SEC granted accelerated approval to two FINRA proposed rule changes to FINRA Rule 4240, which implements an interim pilot program with respect to margin requirements for certain transactions in credit default swaps: FINRA Rule 4240 (Margin Requirements for Credit... [read post]
7 Dec 2011, 12:55 pm
SR-FINRA-2011-067) (December 6, 2011) to amend FINRA Rule 13201 of the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) to align the rule with... [read post]
