Is The Past Prologue? FINRA Permits Remote Inspections . . . For Now
On July 1, FINRA amended Rule 3110.17 to allow broker-dealers to remotely inspect offices of supervisory jurisdiction (OSJs), branch offices…
On July 1, FINRA amended Rule 3110.17 to allow broker-dealers to remotely inspect offices of supervisory jurisdiction (OSJs), branch offices…
Last week Congress received a bill that would grant the Commodity Futures Trading Commission, not the Securities and Exchange Commission, jurisdiction over…
FINRA issued Regulatory Notice 22-11 in April to remind broker-dealers of their obligations in the sale of alternative…
As noted recently, FINRA’s monthly publication of its Disciplinary and Other FINRA Actions offers various insight and teaching…
MENOs and MEORs and MEOFs, Oh My! – A High-Level Overview of CAT Reporting The Consolidated Audit Trail (CAT) is…
Industry participants know that FINRA’s monthly posting of its “Disciplinary and Other FINRA Actions” offers insight into its…
Reporter Dalvin Brown advised that “deleting old social-media posts is good hygiene, no matter who you are.” See…
In Regulatory Notice 22-10, FINRA offers the broker-dealer community guidance on when it will consider charging a Chief Compliance…
In Regulatory Notice 22-08, FINRA reminds its membership of their obligations when selling certain products and invites comment…
FINRA just posted guidance on potential Chief Compliance Officer liability stemming from Rule 3110 violations in Regulatory Notice…
The 2022 Report is Worthy Reading for Every Compliance Officer If you are in the broker-dealer industry, reading…
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