FINRA

Transparency continued – The SEC clarifies its examination selection process for broker-dealers

The SEC’s Division of Examinations released a Risk Alert defining the elements it weighs when selecting broker-dealers as examination candidates, illuminating how firms can prepare and refine their compliance efforts.

Social surveillance: The importance of comms capture for social media compliance

In addition to capturing communications channels like email, IM, and SMS, compliance teams must realize the importance of capturing data from social media platforms. To effectively manage widely used applications, firms should consider social surveillance and strategies to curb risks.

On the books – FINRA fine proves marketing comms can be a recordkeeping risk

A recent fine issued by FINRA for a firm’s failure to preserve marketing communications has added yet more fuel to the current regulatory focus on marketing, recordkeeping, and social media.

Regulatory Wrap Episode 17: Regulatory Priorities, 2024 Major Trends, and a New Focus for the FCA

In Regulatory Wrap for the week to January 26, 2024, we explore how 2024 could see heavy regulatory focus on non-financial misconduct, and how the FCA is leading the charge when it comes to policing proper conduct.

A Simple Guide to FINRA Rule 4530

Navigate FINRA Rule 4530 with our straightforward guide. Understand requirements, and compliance strategies in this easy-to-follow resource.

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A guide to how FINRA 4511 works

Explore the intricacies of financial industry regulations and navigate the landscape of record-keeping requirements seamlessly. Trust Global Relay for expert solutions ensuring your organization stays in compliance with FINRA Rule 4511, safeguarding your communication practices in the financial sector.

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The FINRA Rule 2010, Explained

Gain clarity and confidence in navigating the regulatory landscape with Global Relay's comprehensive guide to FINRA Rule 2010. Unravel the intricacies of this foundational rule, understanding its implications for ethical conduct within the financial industry.

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Cryptic crypto – FINRA says crypto marketing needs clearing up

After a two-year review, FINRA has found that 70% of broker dealers’ crypto marketing communications violate rules requiring they be “fair and balanced”.

Regulatory Wrap Episode 8: Exploring FINRA’s Proposed Rule 3110c Amendment

In Regulatory Wrap for the week to October 6, we deliberate regulators' proposal to modernize processes by making updates to Rule 3110c, which affects remote inspections.

Setting the record straight on retention: How to appropriately capture data and fulfill regulatory requirements

It is well known that record retention is central to financial industry operations - but best-practice makes perfect. Our guide will help your organization abide by regulatory requirements and confirm data is being managed, secured, and archived.