FINRA

Our in-brief roundup of notable stories from the last week.

FINRA has adopted major amendments and updated interpretations regarding margin requirements and binary options.

FINRA enforcement activity covering October 10 – 23.

Our in-brief roundup of notable stories from the last week.

SEC approved rule amendment allowing broker-dealers to include performance projections and targeted returns in marketing materials for eligible clients.

Our in-brief roundup of notable stories from the last week.

FINRA enforcement activity covering October 3 – 9.

Discussion included NFM, AI-generated transcription, and gifts and entertainment controls.