FINRA Rule 4513
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FINRA’s future: reform, absorption, or something in between
As FINRA modernizes into a data-driven, system-embedded overseer, the real question is no longer whether it will survive, but whether it is quietly becoming indistinguishable from the SEC.
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GRIP Extra: CFTC sues states over prediction markets, OCC rescinds big bank recovery planning guidelines
Our in-brief roundup of notable stories from the last week.
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FINRA launches Financial Intelligence Fusion Center
Member firms can submit any threat intelligence they have via the FIFC portal and get targeted notifications.
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GRIP Extra: CFTC launches Innovation Task Force, digital Euro progress advances
Our in-brief roundup of notable stories from the last week.
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GRIP Extra: AMLA begins groundwork for direct supervision, White House unveils federal AI framework
Our in-brief roundup of notable stories from the last week.
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FINRA opens broad review of arbitration process
The move signals an impending reboot of an often-criticized system.
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The GRIP Files: Alexander Cohen
Alex tells us about representing clients before the SEC, FINRA, and state securities regulators and shares his experiences dealing and working with senior regulatory figures.
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Apex and SEC battle over firm's off-channel comms settlement
Apex argues that by applying substantially less burdensome undertakings on other similarly charged firms the SEC has breached administrative law.
Further Reading
