On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
The Anti-Money Laundering (AML) section of the 2019 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.
Register to attend upcoming webinars which will introduce features of FINRA Gateway, the new FINRA reporting and compliance user experience—designed to streamline compliance functions to help you do your job more efficiently. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative will roll out over the coming months. Each webinar will cover a
• Customer Confirmations—Failure to Comply With Rule Requirements
• Customer Protection Rule—Failure to Comply With Rule Requirements
• Net Capital Violations
• Recordkeeping Violations
• Regulation T and Margin Requirements—Violations of Regulation T and/or FINRA Margin
Many disputes that do not settle in mediation end with the declaration, “We can do better at trial.” But as the parties and mediator leave the room, they may ask
themselves if that assertion is accurate.
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, the first in a three-part series, we learn more about the strategy and the role of the Hub.
Currently, FINRA API users wishing to get access for TRACE, ADF, ORF, and TRF Reference Data are required to download a digital certificate and present verified user id and password credentials to access the API. As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the API.FINRA will replace digital certificates with
The Crowdfunding Offerings: Broker-Dealers and Funding Portals topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
