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Financial Industry Regulatory Authority (FINRA)

Carlton Fields

FINRA Issues 2025 Annual Regulatory Oversight Report

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On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more

McGuireWoods LLP

FINRA’s 2025 Annual Regulatory Oversight Report: Playing the Hits, With Some Important Additions

McGuireWoods LLP on

The Financial Industry Regulatory Authority’s (FINRA’s) 2025 Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such...more

Bracewell LLP

FINRA Facts and Trends: February 2025

Bracewell LLP on

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. We dedicate...more

Mayer Brown Free Writings + Perspectives

FINRA Will Not Set an Effective Date for Amendments to TRACE Rules Establishing One-Minute Reporting Requirement; FINRA to Prepare...

On February 5, 2025, Robert Cook, President and Chief Executive Officer of the Financial Industry Regulatory Industry, Inc. (“FINRA”), announced that FINRA will not set an effective date for its recent amendments (the...more

Faegre Drinker Biddle & Reath LLP

Things I Worry About (9): FINRA Enforcement and Senior Investors

Among other things, FINRA is focusing on services and recommendations by broker-dealers and their registered representatives to retirees, senior investors and investors with diminished capacity. The Report has one part...more

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - February 2025

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

Shumaker, Loop & Kendrick, LLP

Client Alert: Navigating FINRA’s 2025 Third-Party Risk Updates: Compliance Strategies for Financial Institutions

Every year, the Financial Industry Regulatory Authority (FINRA) issues an Annual Regulatory Report in an effort to provide FINRA Member Firms with insight into findings from FINRA’s regulatory operations programs. The Annual...more

Goodwin

SEC Outlook: Potential Updates Under Nominated Chairman Atkins

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The SEC currently has several notable rule proposals that have received public comment but have not yet been finalized. The potential direction of these proposals is likely to be influenced by the leadership of the new SEC...more

Orrick, Herrington & Sutcliffe LLP

FINRA accepts Regulation BI-related AWC

On January 13, FINRA accepted a Letter of Acceptance, Waiver and Consent (AWC) from a financial services member firm to address allegations of supervisory failures related to recommendations of alternative investments. ...more

Orrick, Herrington & Sutcliffe LLP

FINRA delays new amendments to its TRACE reporting rules

On February 5, FINRA announced while amendments to the TRACE reporting rules were approved in September 2024, an effective date for these amendments has not been established. These amendments, known as the “one-minute”...more

Freiberger Haber LLP

Enforcement News: SEC Brings Enforcement Action Involving an Alleged $70 Million Pre-IPO Fraud Scheme

Freiberger Haber LLP on

Pre-IPO investing involves buying a stake in a company before the company makes its initial public offering of securities. Many stock promoters invite potential investors to invest in a pre-IPO offering by providing an...more

Goodwin

FINRA Publishes 2025 Annual Regulatory Oversight Report

Goodwin on

On January 28, 2025, FINRA published its 2025 Annual Regulatory Oversight Report (the “Report”) as “an up-to-date, evolving resource or library of information for firms” that highlights specific industry trends, new...more

Mayer Brown Free Writings + Perspectives

ICI Urges SEC to Delay Short-Sell Reporting Rules Amid Compliance Uncertainty

The Investment Company Institute (ICI) has asked the Securities and Exchange Commission (SEC) in a comment letter to delay enforcement of its new short sale disclosure rules (the “Short Sale Final Rules”) until additional...more

Carlton Fields

Piecing Alpine Together

Carlton Fields on

Is FINRA constitutional? According to the D.C. Circuit’s November 2024 opinion in Alpine Securities Corp. v. FINRA, FINRA proceedings may be unconstitutional in one narrow set of circumstances. ...more

Carlton Fields

Fourth Circuit Holds It Lacks Jurisdiction to Consider Petition to Vacate

Carlton Fields on

The Fourth Circuit Court of Appeals recently held that it lacked jurisdiction over a petition to vacate an arbitration award....more

Orrick, Herrington & Sutcliffe LLP

FINRA AWC details reporting failures

On January 27, FINRA accepted a Letter of Acceptance, Waiver, and Consent (AWC) addressing alleged violations committed by the respondent, retail market maker offering execution services to broker-dealers and member firm...more

McNees Wallace & Nurick LLC

Navigating Regulatory Risks: Leveraged and Inverse ETFs Targeted by Pennsylvania Department of Banking and Securities 

The Pennsylvania Department of Banking and Securities (Department) has recently targeted registered investment advisers who utilize leveraged and inverse exchange traded funds (ETFs). Advisers should be aware of the...more

Hendershot Cowart P.C.

Legal Alternatives to Breaking a Non-Compete Agreement in Texas

Hendershot Cowart P.C. on

Many employees feel trapped by non-compete agreements, but there are legal ways to handle these restrictive employment agreements. Before risking legal action by breaking your agreement, consider these alternatives....more

Katten Muchin Rosenman LLP

FINRA Publishes 2025 Annual Regulatory Oversight Report - A Window Into Best Practices and FINRA's Focus in a New Regulatory...

On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory Oversight Report.1 The report collects recent observations and findings from FINRA's oversight programs –...more

Paul Hastings LLP

Daily Financial Regulation Update -- Wednesday January 29, 2025

Paul Hastings LLP on

January 28, 2025 - The Consumer Financial Protection Bureau released two reports looking at national rental payment data from September 2021 to November 2024. January 28, 2025 - The Consumer Financial Protection Bureau...more

WilmerHale

SEC Approves FINRA Rules to Establish Securities Lending Reporting Facility

WilmerHale on

On January 2, 2025, the Securities and Exchange Commission (SEC) approved the FINRA Rule 6500 Series (the SLATE Rules), which establishes the Securities Lending and Transparency Engine (SLATE), a new facility for the...more

Eversheds Sutherland (US) LLP

SEC approves FINRA rule 6500 series requiring securities lending reporting

On January 2, 2025, the Securities and Exchange Commission (the SEC) published an order approving a proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (FINRA) to adopt the new FINRA Rule 6500...more

Shumaker, Loop & Kendrick, LLP

Client Alert: FINRA’s Enforcement Arm Under Fire

Recent case developments in Alpine Sec. Corp. v. FINRA before the D.C. Circuit cast further uncertainty on the future of the Financial Industry Regulatory Authority (FINRA)’s enforcement arm....more

Orrick, Herrington & Sutcliffe LLP

FINRA Securities Lending Reporting Rules Approved

The SEC has approved FINRA's 6500 rule series, which governs the Securities Lending and Transparency Engine (SLATE). The rules require some financial institutions to report securities loans to FINRA. They also require the...more

ArentFox Schiff

Nasdaq Rule Change Lengthens Reverse Stock Split Notice Period

ArentFox Schiff on

Last November, Nasdaq proposed a rule change that would lengthen the notification period for companies conducting reverse stock splits from five business days to 10 calendar days. The rule change became effective immediately...more

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