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Tag Archives: Rulemaking

FINRA Board Approves Rule Proposals on Low Risk Branch Exams and Expanded BrokerCheck Discosures

October 5, 2017Legal AlertsFINRA, RulemakingDaniel LeGaye

At the September FINRA Board of Governors meeting, the Board authorized publishing for comment two proposed rulemaking items. One would permit firms to use technology to conduct remote inspections of … Continue reading FINRA Board Approves Rule Proposals on Low Risk Branch Exams and Expanded BrokerCheck Discosures →

FINRA Board Approves Rulemaking Item to Protect Seniors

September 30, 2015Legal Alerts, News/CommentaryFINRA, Rulemaking, Senior InvestorsDaniel LeGaye

The Financial Industry Regulatory Authority (FINRA) announced that its Board of Governors approved a rulemaking item to help firms better protect seniors and other vulnerable adults from financial exploitation. The … Continue reading FINRA Board Approves Rulemaking Item to Protect Seniors →

Legal Alerts

DOL Rule in Limbo, But Not Best Interest Standard
FINRA Updates Remote Branch Inspection Guidance

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