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Company: Financial Industry Regulatory Authority

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FINRA preps for new “best interest” obligations

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.

U.S. broker sanctioned for failing to guard against market manipulation

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

gavel

U.S. broker, ex-CEO sanctioned for enabling client misconduct

The firm allowed market access to offshore market manipulators

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Many U.S. investors in the dark on fees, performance: Report

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.

FINRA enhances OTC market transparency

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

U.S. firms to pay back overcharged clients, FINRA says

Firms allegedly charged excess fees on education savings plans

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Banned reps churned out millions from vulnerable client, FINRA finds

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

U.S. brokers sanitizing disciplinary records, investor group says

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

stock market decline

Financial literacy lagging, FINRA finds

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

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Prepping for best interest standards

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