The Financial Industry Regulatory Authority (FINRA), like every other industry in the country, was forced to make some changes as a result of the COVID-19 pandemic. According to the regulator, although it remains fully operational it is using remote work capabilities...
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Month: August 2021
What do I need to know about FINRA?
The Financial Industry Regulatory Authority (FINRA) is a group focused on safeguarding the public from fraud and bad actors within the broker industry. They are not affiliated with the government, but instead operate as an independent organization. FINRA both writes...
Brokerage firms take note, the SEC just passed a new FINRA rule
The financial industry is always evolving, and the rules that govern brokerage firms and investment strategies often change in an attempt to keep up. These rules can help to better ensure everyone works in a way that benefits investors while staying within the...
How will new SEC leadership impact enforcement efforts?
The United States Securities and Exchange Commission (SEC) recently welcomed a new leader. The agency’s new enforcement director, former New Jersey Attorney General Gurbir Grewal, has taken on this role shortly after his predecessor, Alex Oh, resigned. Ms. Oh left the...