FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives
FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines
FINRA’s examination, surveillance and risk monitoring programs play a central role in supporting FINRA’s mission of investor protection and market integrity.
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Guidance on FOCUS Reporting for Operating Leases
Proposed Rule Change to Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC
The vast majority of interactions between investors and investment professionals are positive. However, sometimes the relationship doesn’t go as planned and you may find yourself considering arbitration or mediation. There are many factors to consider as you proceed down these paths, such as should you hire an attorney.
The Market Access Controls section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
