Modernizing FINRA Rules. FINRA is conducting a broad review of its rules to modernize requirements, facilitate innovation and eliminate unnecessary burdens. Empowering Member Firm Compliance. FINRA is ...
Client management platforms have become an essential part of an RIA’s tech stack as these tools make it easier to access and update customer information. The Financial Industry Regulatory Authority ...
The Financial Industry Regulatory Authority (FINRA) has updated a helpful frequently asked questions (FAQs) section on its website outlining the scope and limits of FINRA Rule 2210, which covers ...
FINRA is looking to lighten the supervision burden on nearly 80 firms that reached settlements before the start of the year over messages sent using WhatsApp and other texting systems. Concerns over ...
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