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Company: Financial Industry Regulatory Authority

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hacker programing in technology enviroment with cyber icons and symbols

Report aims to help dealers, particularly small firms, ensure they have adequate cybersecurity programs

business people standing in line under a magnifying glass

Inadequate due diligence on products a “common contributor” to suitability failings

The regulator expects the new structure to increase compliance efficiency and effectiveness

Wall Street Bull bronze sculpture in the Financial District in Manhattan

Regulator launches SIE exam

Annamaria Lusardi honoured for research to advance investor protection and financial capability

Financial Technology concept illustration of Businessman pointing at abstract blue business charts and icons

Technology may make it easier for securities firms to strengthen their compliance programs

skyscrapers in Manhattan at sunset, New York City

New technology will lead to enhanced efficiencies and reduced compliance costs for firms

Tim Scheve replaces John Thiel who left the board of the U.S. self-regulatory organization earlier this year

The U.S. self-regulatory organization is looking to improve arbitration payouts to clients

Excited happy senior business man sitting on a floor with piggy bank under a money rain isolated on gray wall background.

Uniform standards to protect U.S. investors take effect