• S&P/TSX Composite 15,409.47 -4.82
  • S&P/TSX Venture 711.36 12.76
  • NASDAQ 7,430.74 -66.15
  • S&P 500 2,750.79 -16.34
  • Dollars (US) 0.7703 0.0024
Home Financial Industry Regulatory Authority

Company: Financial Industry Regulatory Authority

253 results found

FINRA to consolidate examination and risk monitoring programs

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

Wall Street Bull bronze sculpture in the Financial District in Manhattan

FINRA streamlines examination process for candidates entering U.S. securities Industry

Regulator launches SIE exam

FINRA Foundation awards 2018 Ketchum Prize to financial literacy expert

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

FINRA report identifies benefits and risks of regtech

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

skyscrapers in Manhattan at sunset, New York City

FINRA initiative aims to transform registration

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

FINRA names Janney Montgomery Scott CEO to board of directors

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

FINRA seeks input on “customer recovery”

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.

New FINRA rules protect seniors and vulnerable adults from financial exploitation

Uniform standards to protect U.S. investors take effect

FINRA sanctions rep for posting fake sex ad

Harassing and abusive conduct violates ethical principles

FINRA launches small firm helpline

The helpline aims to provide immediate answers on basic compliance questions