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Company: Financial Industry Regulatory Authority

367 results found
penalty card

Firms to pay US$2.6 million, including US$1 million in client restitution


BofA fined over anti-spoofing supervision in U.S. Treasury markets

zoom call

SEC approves SRO rules to facilitate work-from-home supervision


SRO executive leaves after nine years at the agency

Quantum computer

SRO examines potential implications of a computing revolution

Magnifying glass

Regulator adopts new rules to boost transparency around short activity, securities lending

Robber captured

Clients' assets misappropriated rather than invested, U.S. authorities charged

Follow the leader

New rule sharply narrows prop traders' SRO exemption

Long-time SRO employee tapped to head division

Air raid sirens

SRO renews Maureen Jensen's board term for three years