FINRA

FINRA has adopted major amendments and updated interpretations regarding margin requirements and binary options.

SEC approved rule amendment allowing broker-dealers to include performance projections and targeted returns in marketing materials for eligible clients.

Rule proposals are part of the FINRA Forward initiative and will be filed with the SEC .

FINRA has completed the consolidation of its member supervision, market oversight, and enforcement functions into a single department.

SEC approves FINRA’s overhaul of OBA rules, easing oversight of low-risk side jobs while preserving scrutiny of investment activities.

FINRA has advanced two major proposals amending the rule on communications with the public, articulating a risk-based framework for communication review.

The changes would allow more retakes within a shorter span of time.

Recommendations include new overarching enforcement principles, closer CEO involvement, changes to due process, and tighter engagement with regulated member firms.