FINRA’s Top Exam Priorities for 2015
FINRA calls BDs’ failure to put clients first a “recurring challenge” in its 2015 priorities report.
BrokerCheck Links in Twitter Profiles? No Way, BDs Tell FINRA
In comments on FINRA's revised plan to require links to BrokerCheck, rules on social media and other third-party sites draw particular ire from broker-dealer groups.
FINRA OKs Plans on BrokerCheck Link, Expungement and Arbitrator Definition
FINRA's board on Thursday approved three rule proposals — including one to limit how many investor complaints a broker can have expunged from BrokerCheck.
FINRA Updates Guidance on Communications With Public
FINRA released in early January an updated set of questions and answers on its new rule on communications with the public.
FINRA Backs Off on Social Media Reporting for BDs
FINRA has at least partially bowed to comments from member firms and decided not to require social media postings to be regarded as subject to a post-use filing requirement.