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Firms will be able to treat private residences from which certain supervisory activity is conducted as non-branch offices instead of OSJs. The adoption comes after nearly two years of...
On January 9, 2024, the Financial Industry Regulatory Authority, Inc. ("FINRA") published the 2024 FINRA Annual Regulatory Oversight Report (the "Report")...
FINRA recently announced targeted exams of its members focused on certain retail communications concerning "crypto asset" products and services between July 1, 2022 and September 30, 2022.
Key Takeaways: ..On September 28, 2021, FINRA released Regulatory Notice 21-34 which introduces additional new rules aimed at addressing high risk or “recidivist”...