U.S. Financial Industry Regulatory Authority (FINRA)

FINRA litigants and arbitrators alike should take note of a federal court’s decision rejecting an unexplained FINRA award when it was unable to discern its basis, notwithstanding that FINRA rules
Continue Reading Federal Court’s Remand and Rejection of ‘Inscrutable’ FINRA Award Has Broad Implications

fraud.jpgThe outside business activities of registered persons have the potential for causing your firm significant liability, especially where those activities are unknown to the firm, involve firm customers and constitute
Continue Reading What Does FINRA Rule 3270 Mean To You

buyholdsell.jpgIn a recent speech, FINRA CEO, Richard Ketchum, told broker-dealer compliance officers that, although firm compliance programs have improved, there must be heightened supervision when it comes to complex products. 
Continue Reading Did You Know That Some Of Your Products Require Heightened Supervision