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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

Harassing and abusive conduct violates ethical principles

The helpline aims to provide immediate answers on basic compliance questions

Areas of focus include fraud, high-risk firms and brokers, technology governance and cybersecurity, and market regulation

  • January 8, 2018 January 8, 2018
  • 15:30

An investor alert warns against buying the stock of companies that tout the prospect of high returns from their cryptocurrency activities

SEC names co-directors of enforcement

A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have conflicts of interest”

Proposed changes aim to make the program work better for investors

The new structure brings greater consistency and uniformity to the process for entering and returning to the brokerage industry