FINRA recently announced targeted exams of its members focused on certain retail communications concerning “crypto asset” products and services between July 1, 2022 and September 30, 2022. For ...

The Financial Industry Regulatory Authority plans to address two regulatory hot spots for firms this week at its board of governors meeting, including procedures to stop reps from cheating on exams ...

The Financial Industry Regulatory Authority (“FINRA”) recently kicked off a “sweep” examination with its August 2021 Targeted Exam Letter on “practices and controls related to the opening of options ...

The Financial Industry Regulatory Authority is looking for more information about how firms handled retail communications “concerning cypto asset products and services” in the wake of last week’s FTX ...

A recent report that details Finra's inability to detect R. Allen Stanford's long-running, $7.2 billion fraud clearly shows that the securities industry self-regulator has gaping and significant ...

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