Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month, we report on FINRA’s first salvo against market-disrupting “FinFluencers,†a pivotal ruling that restricts who may be deemed a “customer†under FINRA rules, a new type of claim that has surged into the top 10 most common types of disputes filed in FINRA, and much more.
