Authority (FINRA) as to what constitutes successful branch inspection programs for broker-dealers. Design …/methodology/approach – Summarizes FINRA’s rules requiring firms to implement branch inspection programs; examines the SEC’s and FINRA’s joint 2011 … National Examination Risk Alert, which expanded upon FINRA’s rules, requiring firms to conduct risk-based analyses on each …

Purpose – To analyze FINRA’s proposal that would require registration with FINRA of associated persons of FINRA … subject to a FINRA registration requirement, to pass a qualification examination and register. Originality/value – This … article contains valuable information about important FINRA rule making activity.  …

review and improve their cybersecurity and information technology protocols and practices. Findings – While FINRA’s new … be cognizant of the fact that both FINRA and the SEC have imposed significant sanctions against Firms when it has found …

Purpose – To review FINRA enforcement action taken against a broker-dealer over failure to waive mutual fund sales …’ prospectuses. Design/methodology/approach – Reviews and summarizes FINRA’s finding’s regarding the broker-dealer’s failure to apply … resulting in the failure, resulting violations of FINRA rules, the broker-dealer’s remedial efforts, and the sanctions imposed …

Purpose – The purpose of this paper is to provide selected Financial Industry Regulatory Authority (FINRA) Regulatory … Notices and Disciplinary Actions issued in June, July, and August 2012. Design/methodology/approach – The paper provides FINRA … Regulatory Notice 12‐40, SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities; Regulatory Notice 12 …

Purpose – The purpose of this paper is to interpret Financial Industry Regulatory Authority (FINRA) Regulatory Notice … 13-31, which provides practical advice to member firms about how FINRA will be examining for compliance with the rule … explains the three suitability obligations set forth in Rule 2111, the mechanics of FINRA's suitability examinations, overall …