self-regulatory organization Archives - The Industry Spread

FINRA Provides Crypto Guidance

January 27, 2019

FINRA, the Financial Industry Regulatory Authority, provided further guidance for its member firms regarding digital assets in its 2019 priorities letter.

FINRA To Consolidate Examiners

November 13, 2018

“Our Examination and Risk Monitoring program is central to our efforts to protect investors and guard the integrity of markets. After careful consideration and extensive feedback from internal and external stakeholders, we are moving toward a program structure that is based on the firms we oversee. By directing our expertise and resources in a more tailored way, we will become more effective at examining for compliance,” said FINRA President and CEO Robert W. Cook