As FINRA phases out WebEFT, financial institutions face the daunting task of migrating to FINRA's new API platform. Managing the switch internally leaves firms to choose between a significant and ongoing investment in development and compliance resources or a move back to inefficient and error-prone manual processes.
The April 30 sunset date is coming up fast. Is your firm ready for the change?
The Financial Industry Regulatory Authority (FINRA) has released its 2025 Annual Regulatory Oversight Report, providing crucial insights into the regulatory landscape for member firms. This year's report covers a broad range of topics, including some new areas of focus plus perennial areas of regulatory concern.
Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps every year, and the deadlines are coming up fast. Now’s the time to make sure that you have the right framework in place to manage your renewals on time, cost effectively, and efficiently—this year and moving forward.
The 2024 FINRA Annual Regulatory Oversight Report provides firms with insight into findings from FINRA’s regulatory operations programs including Member Supervision, Market Regulation and Enforcement. Addressing a broad range of topics spanning conflicts of interest, disclosures, communication practices and crypto asset compliance, the report contains information that firms can use to strengthen their compliance programs in 2024 and beyond.
It’s 4PM on a Friday. You were hoping to wrap up for the day to start your weekend, but there’s a deal to be closed. The CEO is looking for confirmation that there are no conflicts around outside business activities or any other potential conflicts of interest, and he needs that info stat.
