Due to the recent outbreak of coronavirus disease (COVID-19), FINRA has issued a notice reminding firms to consider business continuity planning in the event of a pandemic in the United States. Read More

According to the report, FINRA fines decreased to $44 million in 2019 from $61 million in 2018, a decline of 28%. Read More

This year’s letter focused on broker-dealers’ compliance with the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI) and the Customer Relationship Summary, or Form CRS. Read More

FINRA recently announced the consolidation of its three exam functions into a single, unified program—a process that began in October 2018. Read More

The 2019 Report focuses on a number of findings and observations, involving: sales practice and supervision; firm operations; market integrity; and financial management. Read More

Curious where FINRA focused most of its attention in 2018? Law firm, Eversheds Sutherland, is here to answer that question as they took a look back at FINRA’s monthly disciplinary reports, press releases, and online database. Read More

While many of 2019’s focus areas are largely the same as in 2018 (sales practice risks, senior investors, cybersecurity, etc.), FINRA announced it is shifting its focus to include three new areas of concern. Read More

The Financial Industry Regulatory Authority recently released its annual exam findings, identifying improper activity that it wants to stop. Read More

Still need to comply with FINRA's annual compliance meeting requirement in 2018? Provided in this article is a summary of the rule and how to comply. Read More

FINRA fines have increased slightly in the first half of 2018, while restitution has dropped from last year, according to a recent report conducted by Eversheds Sutherland. Read More