FINRA
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FINRA opens broad review of arbitration process
The move signals an impending reboot of an often-criticized system.
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Tied with a bow: FINRA’s gift limit goes from $100 to $300
The rule is designed to avoid conflicts of interest, which can arise when a gift is given to a client or vendor in the hope of strengthening a business relationship.
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FINRA proposes finalizing updates to outside business activity rules
The Proposed Rule is a welcome development to modernize the existing, outdated requirements related to outside business activity and private securities transactions.
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Latest Reg BI fine from FINRA shows why boilerplate policies no longer work
FINRA sends a clear signal that procedural lapses alone can now constitute a violation.
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FINRA sweep targets foreign small-cap offerings
The information requests focus on policies, procedures, training, and surveillance controls around small-cap offerings and trading.
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FINRA to revise day trading to attract more retail investors
Going to the SEC for approval are also proposals for revised corporate financing rules, outside activities requirements, and an increase to the gift limit.
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FINRA industry snapshot 2025 shows firm concentration in size, location
Snapshot provides a high-level overview of FINRA membership; the data is reported in aggregate to respect confidentiality of member firms.
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FINRA updates rules and rethinks oversight with broader input
FINRA’s latest board meeting brought key rule changes, expanded advisory input, and fresh focus on financial and cybersecurity oversight.