FINRA staff offered reassurances and recommendations for investors as the Coronavirus continues to spread and market volatility increases.
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22393 News Results
FINRA proposed modifying its suitability requirements and rules governing non-cash compensation to conform to the stricter standards of Regulation Best Interest.
The California Attorney General proposed additional modifications to proposed regulations for the California Consumer Privacy Act. The Act went into effect on January 1, 2020, and will be enforced starting July 1, 2020.
A broker-dealer settled FINRA charges for failing to implement a satisfactory system of risk management controls.
NFA reminded swap dealer registrants of their regulatory reporting requirements in the midst of the coronavirus pandemic.