- Regulation
- Technology
- Resources
Latest News
- Industry
FINRA Reg Notice 25-04
-
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.
-
FINRA launches three FINRA Forward initiatives to add efficiency
Initiatives aim to improve the effectiveness and efficiency of supervision.