FINRA guidance on liquidity risk management. The Financial Industry Regulatory Authority provided guidance on effective liquidity management practices that senior management and risk managers should consider and implement. While the Notice is directed to firms that hold inventory positions or clear and carry customer transactions, other types of broker-dealers may also find the Notice of value when assessing their own liquidity risks. (9/15/2015) FINRA Regulatory Notice 15-33.
FINRA Notice regarding filing requirements and Regulation A offerings. FINRA published guidance regarding the FINRA filing requirements and review procedures that apply to firms participating in Regulation A+ offerings. (9/8/2015) FINRA Regulatory Notice 15-32.
FINRA warns investors regarding messaging app schemes. FINRA published a new Investor Alert cautioning investors regarding stock promotions sent through popular messaging apps such as WhatsApp, as fraudsters are making greater use of such apps to deliver pump-and-dump schemes. (9/2/2015) FINRA press release.