FINRA proposes a new rule to simplify requirements in Rules 3270 and Rule 3280, aiming to reduce unnecessary burdens.
The structure of Proposed FINRA Rule 3290 requires prior written notice for investment-related activity...more
The SEC's Rule 10c-1a now mandates the reporting of securities loans, marking a significant regulatory shift.
Potential challenges in implementing SLATE, including the need for possible adjustments to data dissemination...more
Earlier this year, FINRA filed with the SEC a proposed series of rules requiring, for the first time, the reporting of securities loans and providing for the public dissemination of loan information through FINRA's Securities...more
The U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Exchanges were active across a host of regulatory issues impacting fintech companies and broker-dealers during...more
10/2/2024
/ Analytics ,
Anti-Money Laundering ,
Books & Records ,
Broker-Dealer ,
Civil Monetary Penalty ,
Compliance ,
Customer Identification Program (CIP) ,
Cyber Incident Reporting ,
Disciplinary Proceedings ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
FinTech ,
Influencers ,
Investment Advisers Act of 1940 ,
MSRB ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
FINRA's new enforcement head, Bill St. Louis, recently appeared on FINRA Unscripted, a FINRA podcast where he discussed his vision for FINRA's Enforcement Department as well as certain key regulatory issues that are under...more
FINRA recently published its 90-page 2024 Annual Regulatory Oversight Report (Report) providing member firms with insight into six primary topics: Financial Crimes, Crypto Asset Development, Firm Operations, Communications...more
1/17/2024
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Books & Records ,
Consolidated Audit Trail ,
Crowdfunding ,
Cryptoassets ,
Cybersecurity ,
Disclosure Requirements ,
Economic Sanctions ,
Financial Crimes ,
Financial Industry Regulatory Authority (FINRA) ,
Form CRS ,
Fraud ,
Liquidity ,
MSRB ,
Net Capital Rule ,
Policies and Procedures ,
Regulation BI ,
Regulatory Oversight ,
Reporting Requirements ,
Risk Management ,
Variable Annuities