We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Articles

Results 1 to 5 of 18
Most popular |Most recent


FINRA’s Attempt To Change Well-Established Federal Law On Churning

USA - May 7 2018 FINRA has been busy lately issuing Reg Notices on proposed changes to its Rules. Several of the proposed changes seek to give FINRA more discretion...

FINRA’s Revolving Door: Much Ado About Nothing

USA - April 20 2018 This week, FINRA named the CEO of Janney Montgomery Scott to its Board of Governors. Last week, FINRA hired the CCO of Charles Schwab to head its...

FINRA’s Stated Paradigm Shift On Enforcement Actions

USA - March 28 2018 I have spoken about FINRA possibly putting an end to the policy of pursuing cases where formal disciplinary action serves little to no regulatory...

Help! FINRA Is Calling My Customers

USA - January 22 2018 Here is a really interesting post from Michael regarding those potentially uncomfortable moments when FINRA calls non-complaining customers. Because...

FINRA Examiners Are Like A Box Of Chocolates . . .

USA - December 4 2017 Michael discusses the differences in examiners and, potentially examination results from District Office to District Office. Remember, however...