4 Top FINRA Exam Priorities in 2023
By Melanie WaddellA new FINRA report alerts BDs on areas where their compliance efforts might need a bit of beefing up.
November 04, 2022
More Reg BI Cases in the Pipeline, FINRA Chief WarnsFINRA CEO Robert Cook urged firms to beef up their Reg BI compliance.
October 31, 2022
Alaska Updates Annuity Sales StandardsThe fall elections could affect state suitability update efforts in 2023.
October 12, 2022
FINRA Issues First Reg BI-Related FineA sanctioned ex-broker recommended trades that were "excessive in light of the customer's investment profile," FINRA said.
October 07, 2022
Get Ready: FINRA's New CE Rules Start in JanuaryThe regulatory element will now be an annual requirement — and will likely zero in on Reg BI.
September 15, 2022
SEC Chief Presses Senators to Fund More Reg BI ExamsIn the last completed fiscal year, the agency conducted over 3,000 exams, exceeding the previous year, Gensler testified.
August 04, 2022
Reg BI Will Be Defined Case by Case, Cetera's Chief Legal Officer Says: SEC RoundupThe SEC "intends to enforce Reg BI however they define it," says Lisa Gok.
August 03, 2022
New SEC Guidance Tackles How to Handle Conflicts of InterestIn addressing conflicts under Reg BI and the Advisers Act fiduciary standard, disclosure isn't enough, the SEC warns.