Home Financial Industry Regulatory Authority

Company: Financial Industry Regulatory Authority

320 results found
cryptocurrency

Firms are being asked to keep the SRO informed of plans involving digital assets

Keeping connected through uncertain times

FINRA seeks input on reaching meme stock traders and other novices

business people standing in line under a magnifying glass

FINRA has fined the firm and ordered restitution for early rollover recommendations

Display board of Stock market quotes

FINRA reminded firms that order routing must seek best execution, not richest incentives, in a recent notice

senior couple sitting at table with financial advisor

Financial industry can be the first line of defence against exploitation of vulnerable investors

Technology security concept. Modern safety digital background. Protection system

Account takeover attempts are on the rise, FINRA warns

Diverse usiness people walking toward camera

FINRA said it wants feedback on how its regulations and processes affect industry inclusion

stressed young couple worries about their finances

Research recommends tackling financial stress by enhancing education and savings

gavel

Goldman analyst bought stocks knowing they were about to get a "buy" recommendation from a colleague

female advisor with laptop

FINRA has observed a sharp increase in "instant funds" scams in the past two months