FINRA recently issued a report regarding its examination findings. FINRA issued this report so that firms can gain insight from the work of FINRA’s examination of other firms.
Among the
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FINRA Compliance
What’s The Deal With Branch Office Inspections?
By Joshua Horn on
In Notice to Members 17-38, FINRA has put out for comment a change to Rule 3110 that would allow the remote inspection of certain “qualifying offices” as that term is…
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Rogue Brokers Beware
By Joshua Horn on
FINRA is ever-increasing its focus on rogue brokers. For the latest on this issue, check out this recent post.
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FINRA Notice to Members; Enhanced Confirmation Disclosures
By Joshua Horn on
FINRA has recently issued a notice to members regarding to the enhancement of confirmation disclosures. Here is a link to that notice.
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The Tale of the Recidivist Broker
By Joshua Horn on
The CEO of FINRA recently announced that FINRA plans to provide firms with additional resources to deal with recidivist brokers. So what does this mean?
For years, FINRA’s exam priorities…
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What Are You Doing About Outside Business Disclosures?
By Joshua Horn on
FINRA is currently reviewing its rules regarding outside business activities and private securities transactions. From time to time, FINRA reviews its rules and application of those rules to see if…
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So You Want To Change Firms
By Joshua Horn on
One certainty in the brokerage world is that registered representatives often switch from one member firm to another. There is nothing wrong with the switch, but there is a…
FINRA Is Sanctioning What
By Joshua Horn on
In Notice to Members 17-13, FINRA announced changes to its sanction guidelines. In other words, FINRA has listed its new top hits that it is pursuing. Two items bear…
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So I Guess It Is All About The Seniors
By Joshua Horn on
Contrary to what the title may suggest, I am not referring to students who are about to graduate from high school or college. Instead, this post is about that group…
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FINRA, A/K/A the Fine Machine
By Joshua Horn on
According to a recent report of the Eversheds Sutherland firm, 2016 was a banner year for FINRA-assessed fines. FINRA collected a record $176 million in 2016. So what gives?
The…