A broker settled FINRA charges for distributing research notes to sales and trading personnel, and select customers, in advance of the publication of the official research report.
News & Insights
FINRA proposed amendments to a previously proposed three-year pilot program to allow member firms to meet their remote office inspection obligations without on-site visits.
The Office of Financial Research launched the Joint Analysis Data Environment platform to help the Financial Stability Oversight Council assess financial stability risks.
The SEC set a deadline of August 15, 2023 for comments to be submitted on proposed amendments to a prior FINRA proposal to "treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location." The comment deadline was published in the Federal Register.
FINRA proposed clarifying amendments and new definitions to its prior proposal to "treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location."