21 May 2024
FINRA Trends and Developments: March 2024
The Financial Industry Regulatory Authority (FINRA) is an agency that regulates virtually all broker-dealers. Read this article for information relating to recent rule proposals, FINRA’s response to AI, recent litigation, enforcement matters, and notices and rule filings.
Related Content
- FINRA Resource Kit
Find practice notes, templates, checklists, and more related to interacting with FINRA.
- FINRA Regulations
Get in-depth information about FINRA rules for registration, membership, conduct, procedures, and more.
- FINRA New Membership Application Business Plan
Register a broker-dealer with FINRA.
- FINRA Regulation of Broker-Dealer Due Diligence in Regulation D Offerings
Understand the broker-dealer’s due diligence requirements in an exempt offering.
Practical Guidance Updates
Featuring the latest updates from your Practical Guidance account.
- For related Practical Guidance content on important recent trends, please review these easy-to-use Resource Kits on a variety of emerging topics:
- The Practical Guidance Journal Spring 2024 Edition, featuring guidance on protecting attorney-client privilege and work product in a generative AI world, using AI to manage the attorney client relationship, an overview of privacy regulations in the United States, and a primer on the new Corporate Transparency Act requirements.
- The Practical Guidance and Law360 Podcasts Resource Kit features interviews with industry-leading attorneys on cutting edge issues in the law: NFTs, Cannabis, COVID-19, and more.
- Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center. Interested in becoming a Practical Guidance author? Click here for details. Practical Guidance is committed to amplifying diverse voices of attorneys across all differences, including gender and race.
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