SRO sees surge in scams involving foreign-issuer, small-cap IPOs
SRO seeks information on firms' recent crypto-related communications
FINRA issues new guidance on brokerage business succession planning
Initiative aims to streamline compliance, facilitate automation
FINRA sanctioned Barclays Capital for routing orders to its own ATS
FINRA fined the firm for long-standing compliance issues
Model rules allow brokers to use continuing education to maintain status
BofA sanctioned for millions of reporting lapses over 10 years
A temporary pandemic innovation is being made permanent
SEC proposal to narrow FINRA exemption should benefit brokers