Transparency is an essential element of fair and open markets. But in a rapidly evolving landscape, it can be challenging to keep up with the latest regulatory reporting requirements.
FINRA helps broker-dealers stay up to date with these requirements, making regulatory compliance easier. We employ advanced technology to monitor financial markets and regulated firms, keeping pace with the dynamic
Feral Talib is an Executive Vice President and the Head of Surveillance and Market Intelligence in FINRA’s Market Regulation and Transparency Services (MRTS) department, with responsibility for leading FINRA’s market surveillance programs.Mr. Talib was previously the Global Head of Market Surveillance at BNP Paribas Group. In that role, he had strategic leadership of all market surveillance
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
FINRA
FINRA publishes a weekly newsletter (the weekly update) containing its rule proposals and notices of rule approvals with effective dates. FINRA provides an email subscription service for the newsletter as well as other communications. FINRA also maintains a catalog of social media and RSS feeds.
FINRA CAT LLC
FINRA CAT LLC provides an RSS feed of its website updates
SR-FINRA-2009-007 - Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282, and Delete Incorporated NYSE Rule 177 to Conform with Amendments by the NYSE to its Versions of Rules 12, 177 and 282
SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
As prepared for delivery.
I would like to discuss with you today the important question of the appropriate standard of care for brokers and dealers or, more directly, whether the time has come to require broker-dealers, when recommending a security or strategy to retail investors, to ensure that the recommendation is in the “best interest” of the investor.
A “best interest” or “fiduciary”
The National Securities Exchanges and FINRA Issue Joint Guidance on Clock Synchronization and Certification Requirements Under the CAT NMS Plan
Agenda
8:00 a.m. – 4:45 p.m.
Registration
8:00 a.m. – 9:00 a.m.
Networking Breakfast
9:00 a.m. – 9:05 a.m.
Welcome Remarks
9:05 a.m. – 10:00 a.m.
Regulation Best Interest: Understanding Your Disclosure, Standard of Care, Conflicts of Interest and Compliance Obligations
Reg BI imposes a number of new obligations on broker-dealers when making securities or
