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NSCP submits letter to FINRA requesting updates to rulemaking approach
The compliance industry group requested early rule input opportunities, minimization of rule ambiguity and overlap, and cognizance of compliance costs.
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FINRA Annual 2025: OBAs in the spotlight
Industry weighs in on FINRA rules requiring member firms to oversee their associated persons’ outside activities.
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FINRA seeks public comment on the operations of modern workplaces
FINRA identified the modern workplace as an initial area of focus for its latest review, asking for specific comments from member firms.
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Fixed income TRACE reporting timeframe reductions delayed
Industry concerns, including potential unintended consequences for the markets, cited as reason for not setting an effective date for the changes.
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Third-party risk a key addition to FINRA’s 2025 Regulatory Oversight Report
Annual report includes new section on third-party supplier risk landscape, including emerging regulatory concern about AI use within firms and by third-parties.
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FINRA releases 2025 Regulatory Oversight Report
Compliance trends, emerging risk areas and best practices pointers are highlighted.
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FINRA releases 2024 Industry Snapshot as enforcement decline prompts criticism
2023: Slightly more representatives and much fewer enforcement actions.
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FINRA appoints two senior vice presidents of enforcement
New roles at the agency show an emphasis on enforcement resources and skill sets.