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Investigations › Financial Industry Regulatory Authority (FINRA) › Compliance

Maynard Nexsen

When Firms Receive Written Notice of Outside Business Activities

Maynard Nexsen on

In the world of outside business activity (OBA) disclosure, many FINRA enforcement actions center on whether a registered person gave, or did not give, prior written notice of those activities to their member firm. These...more

Jones Day

FINRA Clarifies When Credit for Extraordinary Cooperation Will Be Awarded in Investigations

Jones Day on

The Situation: In recent years, broker-dealers have been seeking further transparency from the Financial Industry Regulatory Authority ("FINRA") on what constitutes "extraordinary" cooperation with its investigations and when...more

A&O Shearman

FINRA Releases New Guidance On Extraordinary Cooperation Credit

A&O Shearman on

On July 11, 2019, FINRA provided additional guidance on obtaining extraordinary cooperation credit to supplement its prior enforcement guidance. FINRA Regulatory Notice 19-23, FINRA Investigations: FINRA Supplements Prior...more

Burr & Forman

Suitability And The “Recidivist Broker”

Burr & Forman on

On January 2, 2014, the Financial Industry Regulatory Authority (“FINRA”) published its annual regulatory and examination priorities letter for 2014. In the publication, FINRA addressed a number of matters, including...more

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