The SEC Office of Compliance Inspections and Examinations described the scope and content of initial examinations for Regulation Best Interest and Form CRS .
News & Insights
21 News Results
A broker-dealer settled FINRA charges for failing to comply with short sale regulations related to close-outs of "fail-to-deliver" positions.
In its annual securities industry "snapshot" report, FINRA found that the number of member firms declined every year since 2012, and the number of investment adviser-only firms increased over the same period.
FINRA collated SEC staff bulletins and FINRA resources to improve member compliance with Regulation Best Interest.
In two new studies funded by the FINRA Investor Education Foundation, researchers found correlations between financial confidence and financial literacy and cognitive health in older persons.