Initiative aims to streamline compliance, facilitate automation
FINRA sanctioned Barclays Capital for routing orders to its own ATS
FINRA fined the firm for long-standing compliance issues
Model rules allow brokers to use continuing education to maintain status
BofA sanctioned for millions of reporting lapses over 10 years
A temporary pandemic innovation is being made permanent
SEC proposal to narrow FINRA exemption should benefit brokers
Firms are increasingly reporting digital signature falsification
The SRO proposed cutting the trade reporting deadline from 15 minutes to 60 seconds
Proposal would narrow exemption from FINRA for prop trading firms