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Company: Financial Industry Regulatory Authority

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Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

SRO proposes rule changes that give firms time for appeals to SEC

handing a folded heart from one hand to another

SRO aims to ease compliance, adjust limit to inflation

Phone finances

FINRA highlights need to revise rules to match current technology

Senior couple

Service has helped recover money for investors, generated enforcement referrals

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

SRO previews initiatives to industry event

consultation discussion

SRO consulting on possible reforms to rules around research, underwriting

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

Investors didn't get paid for lending securities, SRO alleged

Business lawyer team. Working together of lawyer in the meeting.

Firms failed to ensure that investors got fund fee rebates, waivers

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Trio of firms sanctioned for regulatory reporting issues

Metal handcuffs placed over the word fraud

U.S. authorities allege that men primarily posed as female advisors