FINRA Will Not Set an Effective Date for Amendments to TRACE Rules Establishing One-Minute Reporting Requirement; FINRA to Prepare New Filing for Public Comment February 10, 2025
FINRA Provides Guidance on Timing Requirements under Certain Broker-Dealer Financial, Operational and Reporting Rules in the Event of an Unexpected Close of Securities Markets (January 9, 2025 National Day of Mourning in Honor of President Carter) January 7, 2025
FINRA Reminds Members of Regulatory Obligations When Using Generative Artificial Intelligence (AI) and Large Language Models July 1, 2024
Broker-Dealer Settles FINRA Charges for Failures Relating to Use of Social Media Influencer Program March 19, 2024
SEC Adopts Rules to Require Registration of Certain Persons Engaging in Liquidity-Providing Activities as “Dealers” and “Government Securities Dealers” February 23, 2024
