News & Insights

Help
5 News Results

FINRA published the findings of its broker-dealer examination program. The report is intended to aid firms in their efforts to bolster compliance with securities laws and regulations.

FINRA released a podcast summarizing the latest notices, compliance resources and news from April 2015. The podcast highlighted two recent regulatory notices: (i) Notice 15-12, which announced the 2015 GASB support fee, and (ii) Notice 15-11, which reported on the Securities Industry Regulatory Counsel on Continuing Education's Spring 2015 Firm Element Advisory. The podcast also noted a recent investor alert about reverse convertibles that informs investors about the product's features and risks. The podcast reminded market participants that FINRA's annual conference will be held from May 27