SRO proposes rule changes that give firms time for appeals to SEC
SRO aims to ease compliance, adjust limit to inflation
FINRA highlights need to revise rules to match current technology
Service has helped recover money for investors, generated enforcement referrals
SRO previews initiatives to industry event
SRO consulting on possible reforms to rules around research, underwriting
Investors didn't get paid for lending securities, SRO alleged
Firms failed to ensure that investors got fund fee rebates, waivers
Trio of firms sanctioned for regulatory reporting issues
U.S. authorities allege that men primarily posed as female advisors