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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.
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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.