In new guidance, FINRA offered recommendations on investment companies' use of sales charge discounts and waivers on investment company products.
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The MSRB proposed several rule changes to align its rules with the SEC's Regulation Best Interest.
FINRA focused on transaction reporting and data dissemination in a podcast on core elements for firm training plans.
FINRA summarized its latest notices, firm compliance information, investor education initiatives and other news in a podcast on monthly regulatory activities.
FINRA focused on the areas of sales practice, financial and operational controls and market integrity in a podcast concerning the FINRA 2016 Regulatory and Examination Priorities Letter.