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Company: Financial Industry Regulatory Authority

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

senior man giving credit card details on the phone

Compliance exam report documents SRO's emerging and ongoing concerns

Diverse group of four adult men and women laughing while standing close together around a tablet computer

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

cybersecurity of network of connected devices and personal data security, concept on virtual interface with consultant in background

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

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