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Company: Financial Industry Regulatory Authority

350 results found
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FINRA sanctions shortcomings in complaint handling

Online brokerage firm fined for compliance issues related to complaints, options approvals

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FINRA flags rising risk of scams targeting seniors

Compliance exam report documents SRO's emerging and ongoing concerns

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Retail investors are evolving

Younger demographic has different investing habits and preferences, FINRA research finds

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FINRA sees surge in ransomware attacks

Criminals increasingly target small, mid-sized firms, SRO reports

Metal handcuffs placed over the word fraud

Ramp-and-dump schemes on the rise, FINRA warns

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

cryptoassets regulation

FINRA signals crypto sweep

SRO seeks information on firms' recent crypto-related communications

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Reps’ retirement poses risks to clients

FINRA issues new guidance on brokerage business succession planning

hi-tech technological background

FINRA launches high-tech rulebook

Initiative aims to streamline compliance, facilitate automation

People Working Finance Stock Exchange ConceptPeople Working Finance Stock Exchange Concept

Firm fined over best execution failures

FINRA sanctioned Barclays Capital for routing orders to its own ATS

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UBS sanctioned for short-selling violations

FINRA fined the firm for long-standing compliance issues