News & Insights

Help
1521 News Results

A firm settled FINRA charges for failing to implement adequate systems to review suspicious activity in customer accounts, conduct independent testing of its AML program and provide reasonable training to employees responsible for implementing the program.

In an Investor Insight article, titled: "Understanding Settlement Cycles: What Does T+1 Mean for You?" FINRA advised retail customers who do not currently keep their cash and securities with their broker-dealer, to deliver assets required for settlement by the day following trade date.