Key Question What does FINRA’s recently released independent review of its Enforcement Program mean for broker-dealers, and should firms make changes now? Our View Although the report does not establish … Continue reading What Does FINRA’s Independent Enforcement Review Mean for Your Firm?
Executive Summary Regulators continue to focus on “off-channel” communications—business-related messages conducted outside a firm’s approved system. While much of the enforcement attention has centered on text messaging and collaboration apps, … Continue reading Off-Channel Communications Start in Email: Are Your Keywords Keeping Up?
FINRA is making enhancements to its disclosure review process that will permit firms to rely on FINRA’s background investigation and verification process for purposes of compliance with the requirement to … Continue reading FINRA Provides Background Investigation of Public Financial Records
FINRA’s responded to industry feedback on the inspection process for branch offices. Based on Rule 3110 (the Supervision Rule), each firm to currently required to establish and maintain a system … Continue reading FINRA Requests Comments on Proposal for Remote Inspections of Branch Offices