FINRA Reduces Waiting Periods for Retaking Qualification Exams
The Financial Industry Regulatory Authority (FINRA) has adopted a rule change that will significantly reduce the amount of time candidates…
FinCEN Updates Section 314(b) Guidance: What Financial Institutions Need to Know
The Financial Crimes Enforcement Network (FinCEN) has issued updated guidance on how financial institutions may share information under Section 314(b)…
FINRA’s 2026 Crypto Asset Information Request: What Member Firms Should Know
FINRA Continues Monitoring Crypto Asset Activity The Financial Industry Regulatory Authority (FINRA) has announced that it will publish its 2026…
FINRA Clarifies Rules for Personal Services Entities Following SEC No-Action Relief
Regulation-Notice-26-12Download The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 26-12, providing guidance on how existing FINRA rules apply…
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…