FINRA proposed delaying the expiry date of Rule 0180 on the application of FINRA rules to security-based swaps, and extending the implementation date of Rule 4240 on margin requirements for credit default swaps.
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FINRA proposed modifying its suitability requirements and rules governing non-cash compensation to conform to the stricter standards of Regulation Best Interest.
A U.S. broker-dealer agreed to pay restitution to settle FINRA charges of making unsuitable recommendations in connection with volatility-linked exchange-traded products. FINRA reminded firms of sales practice obligations for such products.
FINRA issued a report identifying effective practices that firms should consider when developing and using "digital investment advice tools."