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Company: Financial Industry Regulatory Authority

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Settlements generate US$89 million in restitution

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SRO clarifies what firms and individuals can do to earn credit for ‘extraordinary‘ cooperation

The SEC and FINRA issued a joint statement addressing digital securities on Monday

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Recent legislation gives financial firms and employees immunity for reporting incidents

The U.S. regulator aims to enhance compliance and cut costs with its new initiative

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The Office of Financial Innovation will lead the SRO's handling of fintech-related issues

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The SEC and FINRA warn that these investing tools may be "inaccurate, incomplete or misleading"

Phishing via internet isometric vector concept illustration Hacking credit card information website Cyber banking attack Online security

A new report is part of an effort to strengthen cybersecurity at brokerages, particularly small dealers

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Firms receive lower fill rates and higher trading costs

  • January 29, 2019 June 20, 2019
  • 11:00
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Online distribution platforms are among the emerging issues identified by the U.S. self-regulatory organization

  • January 22, 2019 June 20, 2019
  • 14:45