Home Financial Industry Regulatory Authority

Company: Financial Industry Regulatory Authority

284 results found
rules and regulations

Initial compliance exams will focus on firms' commitment to adopting new requirements

The SRO warns of increased cyberattacks as firms operate remotely

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Researchers find men outperform women on investment knowledge and confidence

rules and regulations

The U.S. SRO will charge fees for reporting Treasuries trades

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Industry began reporting Treasury trading to FINRA in 2017

IIROC addresses seniors’ issues

Investors may be vulnerable to scams as volatility rises, FINRA warns

Female tax inspector looking at corporate financial documents with magnifying glass

The SRO is reviewing the impact of zero commissions on order routing and disclosure

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New conduct standards top SRO's compliance agenda

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

FINRA, U.S. exchanges found Credit Suisse failed to oversee direct access clients


The firm allowed market access to offshore market manipulators