Settlements generate US$89 million in restitution
SRO clarifies what firms and individuals can do to earn credit for ‘extraordinary‘ cooperation
The SEC and FINRA issued a joint statement addressing digital securities on Monday
Recent legislation gives financial firms and employees immunity for reporting incidents
The U.S. regulator aims to enhance compliance and cut costs with its new initiative
The Office of Financial Innovation will lead the SRO's handling of fintech-related issues
The SEC and FINRA warn that these investing tools may be "inaccurate, incomplete or misleading"
A new report is part of an effort to strengthen cybersecurity at brokerages, particularly small dealers
Firms receive lower fill rates and higher trading costs
Online distribution platforms are among the emerging issues identified by the U.S. self-regulatory organization