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Company: Financial Industry Regulatory Authority

346 results found
Metal handcuffs placed over the word fraud

SRO sees surge in scams involving foreign-issuer, small-cap IPOs

cryptoassets regulation

SRO seeks information on firms' recent crypto-related communications

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FINRA issues new guidance on brokerage business succession planning

hi-tech technological background

Initiative aims to streamline compliance, facilitate automation

People Working Finance Stock Exchange ConceptPeople Working Finance Stock Exchange Concept

FINRA sanctioned Barclays Capital for routing orders to its own ATS

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

FINRA fined the firm for long-standing compliance issues

School exam student's taking educational admission test in class, thinking hard, writing answer in university classroom, education and world literacy day concept (School exam student's taking educational admission test in class, thinking hard, writing

Model rules allow brokers to use continuing education to maintain status

gavel

BofA sanctioned for millions of reporting lapses over 10 years

female hands sending email

A temporary pandemic innovation is being made permanent

stock market

SEC proposal to narrow FINRA exemption should benefit brokers