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FINRA enforcement arm policed crowdfunding misconduct, trading volume overstatements. Recent managed options trading strategy arbitrations continue. FINRA followed through initiatives on restricted firm designations, complex products, broker-dealer complaint expungement.
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,...
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued...
FINRA has adopted amendments to Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) to expand the scope of the exemption to include eligible ATS transactions that involve only one member (other than the ATS).
JAC is a club of futures exchanges, in their capacities as SROs. Under a delegation of authority from the CFTC, the JAC monitors and examines member FCMs for compliance with financial, reporting and risk management requirements adopted by member SROs and the CFTC.