Reuters | FINRA Unveils Program to Help Firms Prepare for Regulation Best Interest in Changing Industry Landscape

Tim Foley comments on the Financial Industry Regulatory Authority’s compliance checklist for implementing the Securities and Exchange Commission’s Regulation Best Interest and Form CRS.

Learn more about federal priorities—from the “qualified clients” exemption to a pair of bills in Congress to new filing obligations—that will affect the investment industry in the latest issue of Investment Management, Trading & Markets Updates.

It’s not often that highly technical stock trading regulations work their way into popular discourse. But that’s what has recently happened in ongoing social media hype over the significance of short interest in stocks, which refers to the total open short positions in a stock on a given date. This article discusses the Financial Industry Regulatory Authority’s regulation of short interest reporting and how the organization’s latest proposal may impact broker-dealers.

The SEC’s thoughts on anti-money laundering cost more than a penny stock. Our Financial Services & Products Group examines a new risk alert from the Division of Examinations and what it means for future enforcement.

Tim Foley comments on guidance by the Financial Industry Regulatory Authority related to oil-linked exchange-traded products.