InvestmentNews3d
Finra moves to boot Alpine Securities, same firm that claims the regulator can’t
The legal fight between Alpine Securities Corp. and the Financial Industry Regulatory Authority Inc. took one step sidewise ...
Finra, SEC Face New Attack on Enforcement Power Under Jarkesy
The SEC and a private financial industry regulator both lacked the authority to impose sanctions in a case seeking civil ...
Financial Lawyers Encourage Stronger Ties With Regulators Amid Trump-Era Uncertainty
It is critically important to build a relationship with a regulator,” said Bradford Edwards & Varlack partner Denver Edwards. “It is critically important to treat them like they're smart and engaged ...
Intelligent Use of Artificial Intelligence in the Financial Services Industry
Ropes & Gray attorneys Amy Jane Longo, Lisa Bebchick and Shannon Capone Kirk discuss the use of AI in the financial services ...
Financial Planning12d
FINRA wants to narrow reporting rules on brokers' side hustles
The public has until May 13 to comment on a proposal that would prevent brokers from having to list side hustles like online antiques stores or after-hours bartending gigs.
Investment Executive5d
FINRA aims to boost compliance, reduce burden
enhancing industry compliance and combating cyber threats are on the agenda of the U.S. Financial Industry Regulatory Authority (FINRA) for the months ahead. Speaking at an industry event hosted by ...
Barron's10d
Finra Wants to Update Its Rules. It’s Asking the Brokers It Oversees for Suggestions.
Finra, the brokerage industry’s self-regulatory authority, is opening a sweeping regulatory review, asking the firms it oversees for input on how it could update and potentially relax its rules ...