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How FINRA Is Streamlining Data Requests
On this episode of FINRA Unscripted, discover how data drives securities oversight at every level, from firm examinations to suspicious trading detection. FINRA leaders discuss evolving approaches to data requests, using technology and collaboration to work smarter, reduce regulatory burden, and strengthen investor protection.
2024082708301 Altruist Financial LLC CRD 299274 AWC vrp.pdf
From March 2020 to April 2023, Altruist failed to reasonably supervise its fully paid securities lending business. Altruist participated in a fully paid securities lending program offered by its clearing firm in which over 30,000 of its customers were enrolled. However, Altruist had no system to supervise that business, including, for example, the customer enrollment process.
Deadline for Comments on Regulatory Notice 26-06
FINRA Requests Comment on Modernizing FINRA Arbitration Rules, Guidance and Processes