CE Under the Microscope: FINRA Shares Exam Findings
FINRA recently shared with the CE Council the most common [...]
15
12, 2023
13
10, 2023
FINRA Roundup: A Lesson in Unsuitable Investments
In this month’s FINRA Disciplinary Actions roundup, we saw countless [...]
26
05, 2023
Four Insider Takeaways from the 2023 FINRA Conference
This year's 2023 FINRA Annual Conference was jam-packed with informative [...]
12
05, 2023
Market Downturn Causes Broker-Dealer Financial Decrease
The FINRA 2023 Industry Snapshot was recently released and gives [...]
17
04, 2023
FINRA Revives Inspection Pilot Program Proposal
According to a filing last week, FINRA has submitted an [...]
20
03, 2023
FINRA Reports 56% Decrease in 2022 Disciplinary Actions
In its recently released annual study, Eversheds Sutherland found that [...]
24
02, 2023
What to Know About FINRA’s CE Transformation
At the beginning of the year, FINRA implemented new changes [...]
13
02, 2023
SEC Says Yes to “Restricted Firm” ID on BrokerCheck
The SEC recently approved a rule proposal that would allow [...]
13
01, 2023
Eight Takeaways from FINRA’s 2023 Exam Priorities
On January 10, 2023, the Financial Industry Regulatory Authority, Inc. [...]
16
12, 2022
FINRA & SEC Take on Social Media Misuse
FINRA Fines/Suspends Rep for Facebook Posts FINRA recently took action [...]
