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    • Financial Industry Regulatory Authority (FINRA)

Financial Industry Regulatory Authority (FINRA) Newsletter
  • Finra Looks to Set the Record Straight on Outside Business Activity Proposal 08 May 2025 20:24 GMT

    … false criticisms in press reports. Finra, the brokerage industry’s self … published in news media mischaracterize Finra’s proposal in a number …

  • Finra extends feedback period on rule modernization 08 May 2025 13:15 GMT

    … . The regulator recently launched Finra Forward, a wide-ranging … to hear about non-Finra requirements applicable to member … firms that may interact with Finra rules or programs, or … .” Through several regulatory notices Finra is asking for public feedback …

  • FINRA Facts and Trends: May 2025 08 May 2025 01:27 GMT

    … April 21, 2025, FINRA unveiled FINRA Forward, a broad … topics and questions FINRA identifies,” FINRA has highlighted the … adaptability. Compensation Arrangements FINRA draws attention to two … part of the FINRA Forward initiatives, FINRA is seeking feedback …

  • Securities Enforcement Roundup – April 2025 09 May 2025 20:16 GMT

    … the federal securities laws. Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 25- … to support candidate assessment and FINRA’s Continuing Education Program; … 25-07, FINRA, FINRA Requests Comment on Modernizing FINRA Rules, Guidance, …

  • FINRA Arbitrators Find Major Brokerage Liable To Investors For Punitive Damages In Cherry-Picking Fraud Scheme Run By Outside Advisor 07 May 2025 02:46 GMT

    … the financial industry, a FINRA Arbitration Panel has found Charles … 2021 . According to the FINRA complaint, Schwab not only … quot; Schwab blocked the FINRA Panel from detailing the fraud … tactic frequently used in FINRA arbitration to prevent disclosure …

  • FINRA’s Blueprint for the Metaverse 07 May 2025 02:25 GMT

    … these potential future customers. FINRA’s blueprint highlighted some … industry being relatively unknown, FINRA’s blueprint contained few … instructions. But FINRA’s main instruction seems … saying about artificial intelligence: FINRA’s rules, and the …

  • Dogecoin Cash, Inc. Confirms Stock Dividend Record and Payment Dates; FINRA Publication Completed 06 May 2025 22:00 GMT

    … now reflected in the Financial Industry Regulatory Authority’s (FINRA) Daily List. The … ) received confirmation from the Financial Industry Regulatory Authority (FINRA) that its previously announced stock … not yet been assigned. FINRA has indicated that no …

  • FINRA Says Outside Business Rule Changes Won’t Require Crypto Reporting 06 May 2025 23:07 GMT

    … excluded from the rule.” FINRA’s responses mirror the critiques … ThinkAdvisor, in which he called FINRA’s proposed changes “absurd” … Dark Ages.” In March, FINRA requested public comment on … Approach for Compliance According to FINRA’s response, the proposal …

  • Your Finra defense: Unlock efficiency and clarity with a dual-role expert witness 06 May 2025 22:50 GMT

    … address liability and damages in Finra disputes. However, a … your defense strategy in FINRA arbitration. Why one expert … both liability and damages. FINRA Rule 12604 requires expert testimony … your defense. Upholding the FINRA Arbitrator Code of Ethics, …

  • FINRA Statement To Correct Misinformation About FINRA’s Outside Activities Proposal 06 May 2025 06:35 GMT

    … in news media mischaracterize FINRA’s proposal in a … statements incorrectly suggest that FINRA’s proposal imposes new … but explicitly asks whether FINRA should reduce or eliminate … outside investment adviser activities. FINRA encourages interested parties to …

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