Purpose In April 2017, FINRA issued a regulatory notice addressing the use of social media and digital communications … by broker-dealers. The notice expanded on previous FINRA guidance on these topics. This article provides clarity … regarding how social media and digital communications fit within the requirements of various FINRA rules and provides guidance …

Purpose To address the nuts and bolts of securities arbitration in the FINRA forum. Design …

occurs by reviewing recent enforcement actions, SEC reports and statements, and FINRA reports and statements. Originality …

Purpose To analyze a recently approved FINRA rule amendment that will require registration with FINRA of associated … persons of FINRA-member firms who are primarily responsible for the design, development or significant modification of an … requirements. Findings The amended FINRA rule, particularly when combined with the SEC’s proposed amendments to Rule 15b9-1 under …

Securities Rulemaking Board (“MSRB”) and the Financial Industry Regulatory Authority (“FINRA”) regarding direct purchase or “bank … loan” transactions. Design/methodology/approach Explains the MSRB and FINRA notice, why the notice was issued, what lenders …