Insight: FINRA exam overhaul

Last year the Financial Industry Regulatory Authority (FINRA) announced of an overhaul of the representative level exams program, which goes into effect in less than four months.
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Securities lending
Global implications of Securities Finance Transaction Reporting14 August 2018 / ArticleSince the collapse of Lehman Brothers 10 years ago, where many investors suffered significant losses from securities financing transactions with the bank, regulators have kept a close eye on securities lending. As a result of the bank’s failure and the broader financial crisis, the supply and demand for securities lending shrank dramatically but it has since slowly returned. The global market for securities lending covers $2.3tn assets and produced $9.2bn revenue in 2017.
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