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Company: Financial Industry Regulatory Authority

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New conduct standards top SRO's compliance agenda

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

FINRA, U.S. exchanges found Credit Suisse failed to oversee direct access clients

gavel

The firm allowed market access to offshore market manipulators

Rear view of a business woman math problems calculations black chalk board

Two-thirds of survey respondents failed basic quiz on investing

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

New data sheds light on OTC trading that takes place outside of alternative trading systems

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Firms allegedly charged excess fees on education savings plans

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More than 2,800 trades were placed in the accounts of a client with a severe impairment

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

New report says expungements are being granted "as a matter of course"

stock market decline

Retail investors' knowledge is "alarmingly low," according to report

rules and regulations written on folder

FINRA has developed resources to help firms comply with the SEC's new conduct rules