Julie DiMauro3 min read
Jean Hurley, Hameed Shuja47 min listen
Jean Hurley3 min read
FINRA’s latest board meeting brought key rule changes, expanded advisory input, and fresh focus on financial and cybersecurity oversight.
Vlada Gurvich3 min read
The compliance industry group requested early rule input opportunities, minimization of rule ambiguity and overlap, and cognizance of compliance costs.
Alexander Barzacanos1 min read
Industry weighs in on FINRA rules requiring member firms to oversee their associated persons’ outside activities.
Julie DiMauro6 min read
FINRA identified the modern workplace as an initial area of focus for its latest review, asking for specific comments from member firms.
Julie DiMauro3 min read
Industry concerns, including potential unintended consequences for the markets, cited as reason for not setting an effective date for the changes.
Thomas Hyrkiel, Julie DiMauro2 min read
Annual report includes new section on third-party supplier risk landscape, including emerging regulatory concern about AI use within firms and by third-parties.
Thomas Hyrkiel4 min read
Compliance trends, emerging risk areas and best practices pointers are highlighted.
Alexander Barzacanos4 min read
2023: Slightly more representatives and much fewer enforcement actions.
Alexander Barzacanos1 min read