FINRA Begins Sweep on Order Routing, Inducements, and Conflicts of Interest

Just a few weeks ago, FINRA sent targeted examination letters to a select group of firms requesting information as part of a review of how firms handle the conflicts of interest related to payments or other inducements for order routing. These letters are coming from the Trading & Financial Compliance Examinations (TFCE) section in Market… READ MORE

FINRA 2018 Renewal Calendar – It’s Time to Fund Your CRD Account

It’s that time again—Thanksgiving is around the corner, football season is in full swing and FINRA has published its 2018 Renewal Calendar.  Firms are required to renew their registrations annually through the Renewal Process, which begins in the fourth quarter of each year. The 2018 Renewal Program begins today November 13, 2017, when FINRA makes… READ MORE