FINRA Arbitration In 2026 And Beyond: Key Trends, Notable Awards, And The Road Ahead
The FINRA arbitration forum remains the primary venue for resolving disputes between investors and the broker-dealers and investment advisers who…
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When FINRA Comes Calling: Who Pays for the Lawyer?
Regulatory inquiries from FINRA, the SEC, the DFPI, or the California Department of Insurance often raise an uncomfortable question for…
Read MoreReceived a FINRA Rule 8210 Letter? What Financial Advisors Need to Know
A Rule 8210 letter from the Financial Industry Regulatory Authority, or FINRA, is not ordinary correspondence. For financial advisors, registered…
Read MoreFINRA Signals Possible Overhaul of Its Arbitration System
FINRA has begun a broad review of the rules governing its arbitration forum. In Regulatory Notice 26-06 (“RN26-06”), FINRA requested…
Read MoreProposed Regulation Would Narrow Scope of FINRA’s “Outside Business Activity” Rule
FINRA and the SEC have proposed replacing FINRA Rules 3270 and 3280 with a single new Rule 3290 designed to…
Read MoreFINRA Proposes Increasing Gift Limit
Earlier this year, FINRA released its proposal to update Rule 3220, Influencing or Rewarding Employees of Others (the “Gift Rule”)[1].…
Read MoreAmendments to FINRA Rule 3240: Key Changes and Takeaways
FINRA recently announced in Regulatory Notice (“Reg. Notice”) 24-12, amendments to Rule 3240 (the “Rule”) which generally prohibits borrowing from…
Read MoreSEC Approves New FINRA Expungement Rules
On April 12, 2023, the SEC approved long-anticipated changes to FINRA’s expungement rules that will make the expungement process more…
Read MoreProposed Updates to FINRA Expungement Rules
As part of its mission to protect investors, the Financial Industry Regulatory Authority (FINRA) gathers and discloses certain information about…
Read MoreFINRA Updates Expungement Rules
Changes to broker expungements in arbitration seemed imminent when FINRA first proposed new rule changes of the expungement process to…
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