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FINRA (Finally) Adopts Work-From-Home Supervisory Location Category and Requirements | Goodwin

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. ....

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FINRA Publishes 2024 Annual Regulatory Oversight Report - Financial Services

On January 9, 2024, the Financial Industry Regulatory Authority, Inc. ("FINRA") published the 2024 FINRA Annual Regulatory Oversight Report (the "Report"). ....

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FINRA Exam Targets Broker Crypto Asset Communications - Fin Tech

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. ....

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The Song Remains the Same - FINRA's Riff on High-Risk Brokers and Firms | Bryan Cave Leighton Paisner

Key Takeaways: ..On September 28, 2021, FINRA released Regulatory Notice 21-34 which introduces additional new rules aimed at addressing high risk or “recidivist”. ....

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FINRA Proposes Conforming Amendments To Its Continuing Member Application Form - Corporate/Commercial Law

FINRA Proposes Conforming Amendments To Its Continuing Member Application Form - Corporate/Commercial Law
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