Jasper Whitaker
Jasper Whitaker writes for Regbi Digest and other Independent Journal publications, covering broker-dealer compliance and FINRA and bank regulation and consumer credit. Reporting under this byline is prepared by the Independent Journal editorial desk from primary sources, with AI assistance, and reviewed under our editorial policy.
7 articles
FINRA Rule Change Cuts Exam Retake Waiting Periods
FINRA Regulatory Notice 26-18 shortens waiting periods for retaking failed qualification exams to 15 or 60 days, effective January 19, 2027. Here is what changes.
FINRA rule change eases Rule 4515.01 review of adviser bulk orders
FINRA Regulatory Notice 26-17 drops principal approval for late allocations of investment adviser bulk orders under Rule 4515.01, effective November 16, 2026.
FINRA Regulatory Notice: NAC Small Firm Seat Election Opens
FINRA's 10/5/2026 Election Notice opens a 45-day petition period for candidates seeking one small firm seat on the National Adjudicatory Council.
FINRA news: Revere Securities fined $800,000 over small-cap IPOs
FINRA fined Revere Securities $800,000 over AML and supervisory failures tied to foreign-based small-cap IPOs and ordered a third-party compliance review.
How FINRA Rules Are Made: From Proposal to SEC Approval
A guide to how a FINRA rule change moves from staff concept to Regulatory Notice, SEC filing, public comment and approval, and where to track each step.
FINRA Rules for Capital-Raising Intermediaries: A Guide
How FINRA rules apply to broker-dealers and funding portals that help issuers raise capital, from private placements to underwriting terms and Reg BI.
FINRA news: UBS Financial fined $20 million for AML failures
FINRA fined UBS Financial Services $20 million for repeat anti-money laundering failures involving foreign currency wires and weak customer due diligence.