22 Nov, 2023 FINRA Acts to Update its Advertising Rule By Susan Light The Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission on November 13,...
26 Jul, 2023 Recent DC Circuit Court of Appeals Case Brings FINRA to the Forefront of the SRO State Actor Controversy By Susan Light Peter Wilson Richard Marshall Carl Kennedy Dan Davis James Brady +3 more... Show less A recent DC Circuit Court of Appeals challenge to a FINRA enforcement action brings into question whether FINRA should be held...