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FINRA moves to harmonize rules for investment performance data
A targeted exception attempts to improve clarity and reduce regulatory friction and confusion without diluting investor protection.
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UK-based firm Laidlaw settles with SEC over Reg BI lapses
Net profits to be distributed to harmed investors after failures to supervise.
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FINRA Annual 2023: Redefining communications compliance for the digital age
Our final report from FINRA Annual 2023 covers a fascinating discussion on new communication technologies.
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FINRA Annual 2023: The evolution of branch office inspections
The rise of hybrid working has prompted a rethink in the approach to branch inspections.
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FINRA Annual 2023: Current trends and threats in financial crime
Omer Meisel (OM), Senior VP at FINRA spoke to Paul M Abbate, Deputy Director of the FBI, and Brian Nelson, Under Secretary for Terrorism and Financial Intelligence at the US Treasury at FINRA 2023.
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FINRA’s Robert Cook flags long list of rule changes
Kayte Toczylowski, VP of Member Relations and Education, put the questions that she is hearing most frequently from members to Robert Cook, President and CEO, FINRA, at the regulator’s annual conference in Washington DC.
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FINRA conference opens with calls to prepare for change
VP Kayte Toczylowki and CEO Robert Cook greet attendees at start of annual gathering in Washington DC.
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FINRA reports findings of Examination and Risk Monitoring Program in 2023 report
Report reflects new and evolving risks, industry trends, and noteworthy findings.