In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
News & Insights
9 News Results
FINRA issued a request for comment on security-based swap activities and how FINRA rules might apply to those activities.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
FINRA reminded broker-dealers to notify their Regulatory Coordinators in writing if they, or their associated persons or affiliates, are currently engaging in or intend to engage in activities related to cryptocurrencies, virtual coins and tokens.
FINRA launched an initiative to improve compliance reporting and management by "simplifying" broker-dealers' online interactions with FINRA.