As part of FINRA Forward’s rule modernization initiative, FINRA’s Board recently approved updates to FINRA’s requirements for how...
CN Editor
February 04, 2026
SEC"S NEW ENFORCEMENT CHIEF RESIGNS
FINRA REFORMS AIM TO EASE BURDENS
SEC PROPOSES AMENDMENTS TO EXCHANGE ACT RULE 15C2-11
SEC AND CFTC ANNOUNCE HISTORIC MEMORANDUM OF UNDERSTANDING BETWEEN AGENCIES
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CIRO NEEDS TO STOP SAYING "SHOULD"
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
OPINION: WHO WILL PAY FOR CIRO"S DATA BREACH?
FORMER BROKER CHARGED IN "FREE RIDER" CASE