In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
News & Insights
3 News Results
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
FINRA proposed rule amendments to provide market participants with a daily final trade price for each over-the-counter transaction in exchange-traded managed fund shares as reported to the FINRA/Nasdaq Trade Reporting Facility.