FINRA filed a proposed rule change to "treat a private residence at which an associated person engages in specified supervisory activities as a non-branch location," which would make the location subject to inspections on a regular periodic schedule.
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A broker-dealer settled FINRA charges for failing to timely review a request to engage in an outside business activity ("OBA") involving the sale of a security.
A broker-dealer settled FINRA charges for failing to (i) reasonably monitor, investigate and act upon red flags concerning variable annuity exchange recommendations and (ii) monitor use of external email and preserve business-related emails.
A broker-dealer settled FINRA charges for failing to timely file offering documents for multiple private offerings.
A broker-dealer settled FINRA charges for publishing inaccurate data in required monthly reports on order execution quality.