Back in the early 2000’s, FINRA (then known as the NASD) came out with Notice to Members 06-23 (“Notice”). This Notice goes into detail about the responsibilities of the FINOP. Whether your FINOP is employed full-time in-house or is outsourced, the Notice applies. There are further considerations for the FINOP if the role is outsourced.
FINRA Adopts Amendments to TRACE Reporting Rule to Require Identification [...]
Regulatory Notice 22-18 reminds firms of their rule obligation related [...]
FINRA (Financial Industry Regulatory Authority) publishes a monthly review of [...]
In May, FINRA released a podcast The Essential Senior Investor [...]
This is a reminder for broker-dealers who provide options services [...]
FINRA recently released a podcast Regulation Best Interest and Form [...]
FINRA recently released a podcast AML Update: The Latest Trends [...]
FINRA recently organized roundtable discussions with representatives from 20 firms [...]
FINRA (Financial Industry Regulatory Authority) announced on June 2, 2022 [...]
