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FINRA Rule 4210

Posted by Colleen Judge on Oct 14, 2020 10:20:39 AM

The Financial Industry Regulation Authority (FINRA) filed for a rule change with the Securities and Exchange Commission (SEC). Recognized as “FINRA Rule 4210,” this will require the implementation of mandatory margin requirements for:

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Topics: FINRA

FINRA publishes their 2019 Exam Priorities

Posted by Stephen Mellert on Jan 25, 2019 8:48:50 AM

In its 2019 Risk Monitoring and Examination Priorities Letter, FINRA outlined key areas of focus for 2019, including:

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Topics: FINRA

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