Home Financial Industry Regulatory Authority

Company: Financial Industry Regulatory Authority

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guidelines and regulations binders

U.S. firms' compliance and surveillance programs need review, the SRO says

loseup portrait senior man protecting a piggy bank

SEC, FINRA, NASAA join forces in investor protection push

Metal handcuffs placed over the word fraud

New research uncovers some of the traits shared by investment scam victims

man using laptop

Technology presents opportunities as well as challenges for firms, FINRA said

Pile of cryptocurrency coins

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