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FINRA Seeks Comments On Revised Proposal On Links To BrokerCheck
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We’ve previously covered FINRA’s rule change, first proposed in January 2013 (see, e.g., SAA 2013-10), that would require firms to include in websites and other electronic fora a description of BrokerCheck,

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FINRA Responds To Senators Grassley and Reed On Expungement Part II – FINRA Data On Opposition To Expungements; No Legislation Needed Right Now
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We reported last week in SAA 2014-04 on part of FINRA’s response to the letter sent to FINRA Chairman &

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FINRA Releases 2014 Regulatory and Exam Priorities – Arbitration Not Explicitly On the List, But It’s There If You Look Hard Enough
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FINRA last week announced its 2014 regulatory and exam priorities, chief among them suitability and bad brokers, in a January 2nd press release that included a link to an 11-page open letter to the securities industry.

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