The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.
This rule needs to be in place to set the short sellers straight and bring to light their positions.
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.
Proposed Rule Change to Revise the Series 23 Examination Program
Proposed Rule Change to Revise the Series 24 Examination Program
OverviewFINRA is providing this checklist to help members assess their obligations under the SEC’s Regulation Best Interest (Reg BI) and Form CRS Relationship Summary (Form CRS). The checklist is not a substitute for any rule. Only the rule can provide definitive information regarding its requirements. Interpretive questions should be directed to the SEC, at [email protected]. You should
Chairwoman Waters, Ranking Member McHenry and Members of the Committee:
Introduction
On behalf of the Financial Industry Regulatory Authority, or FINRA, I want to thank you for the opportunity to appear today to discuss the important role that our organization plays in the regulation of broker-dealers and to share our response to the January market events related to trading in GameStop and
INSITE uses technology to focus FINRA regulatory oversight activities on potentially high-risk areas. INSITE includes a surveillance system which establishes a rigorous process to measure and monitor a wide range of broker/dealer activities.
Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
SuperMontage
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
SuperMontage
Executive Summary
On May 28, 2002, the Securities and Exchange Commission (SEC) approved amendments made by The Nasdaq Stock Market, Inc
