Don’t Forget About FINRA

The agency hasn’t exactly dominated trade publication headlines in recent months, but it remains active on enforcement and rulemaking efforts that will impact retirement advisers.

FINRA Updates FAQs on Public Communication Rule

The Financial Industry Regulatory Authority (FINRA) has updated a helpful frequently asked questions (FAQs) section on its website outlining the scope and limits of FINRA Rule 2210, which covers adviser communications with the investing public.

Lexington Unveils RIA Registration Service

Compliance consulting firm Lexington Compliance launched a registered investment adviser (RIA) registration service to help clients establish and manage new independent financial services firms.

FINRA Approves Mandatory Background Checks

The Financial Industry Regulatory Authority (FINRA) approved an amendment to its supervision rule that would require registered firms to conduct background checks on all registration applicants.