BROWSE BY TOPIC
Stories of Interest
- Wells Fargo Has Shown Us Its Contemptible Values
- UBS to Counter Trading Troubles With M&A Work
- SEC Moves Quickly To Shut Down Fake Pre-IPO Share Scam
- SEC Testimony: Oversight of the SEC Division of Enforcement
- FINRA Modifies 'Agency Debt Security' in Rule 6710
- Is Jamie Dimon Doing a U-Turn on Bitcoin?
- After New Yorker's Racist Rant Goes Viral, His Law Firm Gets Pummeled with 1-Star Yelp Reviews
- Bill O’Donnell is New CFO at MetLife
- Trump Still Owes Deutsche Bank, Others as Much as $480Mn
- Wells Fargo Scandals Hurt Its Retirement Business
- Michigan State to Pay $500Mn to Victims of Larry Nassar's Abuse
- Top Lawyer at Novartis Leaving Over $1.2Mn Contract with Michael Cohen's Consulting Firm
- Cadwalader Adds Mark Chorazak to its Financial Regulation Practice
- Deutsche Bank: It's A Short According to Eisman of ‘The Big Short’ Fame
- Up In Smoke: Bank of Montreal Goes All-In on Pot Deals
- RBS to Pay $4.9Bn to Settle Toxic MBS Probe with U.S.
- Apple and Goldman Sachs Team Up to Release New Credit Card
- Robinhood, A Stock, Trading App Rejected by 75 Investors, Now Worth $5.6Bn
- Wells Fargo Reportedly Pocketed Fire And Police Department Pension Fund Fee Rebates
- Trading App Robinhood Surpasses E*Trade In User Numbers
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NEWSLETTERS & ALERTS
FINRA Engages in Self-Improvement – Your Feedback Would Help
FINRA is taking a long, hard look at its operations and programs – that are “dedicated to investor protection and market integrity through effective and efficient regulation that facilitates vibrant capital markets. To that end, FINRA issued a Special Notice to members that asks the question: How can FINRA become more effective?
FINRA has identified its activities into 6 basic categories or engagement programs, and this Notice provides an overview of those programs. Particular focus is given to FINRA's committees,rulemaking process and member relations and related programs.
1. Engagement Through Advisory, Ad Hoc and District Committees
2. Engagement in Connection With FINRA Rulemaking
3. Engagement Through Member Relations, Education and Compliance Resources
4. Engagement Through Investor Education
5. Reporting on FINRA Operations
6. Other Communications, News and Reporting Information Resources
6 how it may become more effective. First, FINRA seeks comments from member firms and other interested parties.
If you've got a spare moment, FINRA would like your comments as to how it can enhance these programs to promote its mission and its effectiveness as an SRO.