SRO modernizes rules on industry gifts, codifies guidance, exemptions
SRO crafts exception from ban on using performance projections
SRO proposes added measures to protect investors from exploitation
Customers paid higher fees, got less interest on cash balances: FINRA
FINRA to accelerate arbitration process for vulnerable clients
"Dot-com" era conflict restrictions no longer needed, regulator agrees
SRO alleged investors paid US$2 million in fees for short-term sales
Wholesalers allegedly provided reps with valuable tickets
FINRA study finds meme stock, crypto, social media investors more vulnerable
Rep allegedly stole over US$500,000 of an elderly man's inheritance