Finra is poised to beef up rules surrounding sales of complex products and to enhance safeguards related to purchasing cryptocurrencies and digital assets from brokerages. Those items are among the organization’s 2022 priorities, Robert W. Cook, CEO of the Financial ...

Finra wants to allow brokerages to conduct remote inspections of branch offices through the end of the year. A temporary rule in response to the coronavirus pandemic has relieved Financial Industry Regulatory Authority Inc. member firms of the onsite, in-person ...

A major Wall Street trade organization is discouraging the Securities and Exchange Commission from creating new regulations targeting the online practices of financial advisers. The agency can turn to the broker standard of conduct, Regulation Best Interest, if it determines ...