FINRA Launches Private Placement Information Page: What Firms and Investors Should Know
FINRA Introduces a New Private Placement Information Resource The Financial Industry Regulatory Authority (FINRA) has launched a new Private Placement…
FINRA Launches Review of Higher-Risk Structured Products
The Financial Industry Regulatory Authority (FINRA) has announced a targeted review focused on firm supervision and sales practices involving certain…
FINRA Updates Proposal on Outside Activities: What Firms Should Know
Overview of FINRA’s Outside Activities Proposal Update The Financial Industry Regulatory Authority (FINRA) has taken another step forward in its…
FINRA Simplifies TRACE Reporting for Certain Firms: What You Need to Know
Regulatory-Notice-25-17Download Overview of FINRA Regulatory Notice 25-17 The Financial Industry Regulatory Authority (FINRA) has adopted amendments to Rule 6730 (Transaction…
FINRA Enhances New Member Application (Form NMA) to Streamline Membership Process
Regulatory-Notice-26-09Download The Financial Industry Regulatory Authority (FINRA) has announced enhancements to the New Member Application (Form NMA) through Regulatory Notice…
FINRA Launches Financial Intelligence Fusion Center (FIFC) to Combat Cybersecurity and Fraud Threats
The Financial Industry Regulatory Authority (FINRA) is launching the Financial Intelligence Fusion Center (FIFC), a new initiative designed to help…