Financial Industry Regulatory Authority – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 28 Mar 2024 20:15:09 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Financial Industry Regulatory Authority – Investment Executive https://www.investmentexecutive.com 32 32 Shining more light into Treasury markets https://www.investmentexecutive.com/news/from-the-regulators/shining-more-light-into-treasury-markets/ Thu, 28 Mar 2024 20:15:09 +0000 https://www.investmentexecutive.com/?p=482906 FINRA starts providing data on individual transactions

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]]> FSRA flags few issues at credentialing bodies https://www.investmentexecutive.com/news/from-the-regulators/fsra-flags-few-issues-at-credentialing-bodies/ Wed, 27 Mar 2024 20:51:18 +0000 https://www.investmentexecutive.com/?p=482849 Regulator reports results of first supervisory reviews at planner/advisor titling organizations

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]]> FINRA fines firm over finfluencers https://www.investmentexecutive.com/news/from-the-regulators/finra-fines-firm-over-finfluencers/ Tue, 19 Mar 2024 16:51:01 +0000 https://www.investmentexecutive.com/?p=482274 SRO brings first case following compliance review targeting firms' use of online influencers

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]]> FINRA revises arbitration rules https://www.investmentexecutive.com/news/from-the-regulators/finra-revises-arbitration-rules/ Wed, 07 Feb 2024 19:37:51 +0000 https://www.investmentexecutive.com/?p=480073 Changes come in the wake of independent review of SRO's arbitration program

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]]> U.S. investor advocates take aim at RIA arbitration https://www.investmentexecutive.com/news/from-the-regulators/u-s-investor-advocates-take-aim-at-ria-arbitration/ Fri, 02 Feb 2024 19:34:27 +0000 https://www.investmentexecutive.com/?p=479755 Firms use forced arbitration to discourage clients from pursuing complaints

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]]> Most crypto communications may be offside: FINRA https://www.investmentexecutive.com/news/from-the-regulators/most-crypto-communications-may-be-offside-finra/ Tue, 23 Jan 2024 18:27:56 +0000 https://www.investmentexecutive.com/?p=479113 Compliance review finds potential violations in 70% of firms' messages

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]]> FINRA reveals evolving compliance threats https://www.investmentexecutive.com/news/from-the-regulators/finra-reveals-evolving-compliance-threats/ Tue, 09 Jan 2024 21:27:25 +0000 https://www.investmentexecutive.com/?p=478337 SRO sees crypto, AI and new account fraud among emerging issues

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]]> OSFI, FCAC to explore industry plans for AI, quantum computing https://www.investmentexecutive.com/news/from-the-regulators/osfi-fcac-to-explore-industry-plans-for-ai-quantum-computing/ Wed, 20 Dec 2023 18:39:17 +0000 https://www.investmentexecutive.com/?p=477650 Study of firms' plans for advanced tech will inform regulation and oversight

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]]> FINRA sanctions four brokerage houses for improper securities lending practices https://www.investmentexecutive.com/news/from-the-regulators/finra-sanctions-four-brokerage-house-for-improper-securities-lending-practices/ Wed, 06 Dec 2023 17:49:18 +0000 https://www.investmentexecutive.com/?p=476690 Firms to pay US$2.6 million, including US$1 million in client restitution

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]]> FINRA sanctions trading oversight violations https://www.investmentexecutive.com/news/from-the-regulators/finra-sanctions-trading-oversight-violations/ Thu, 30 Nov 2023 21:29:10 +0000 https://www.investmentexecutive.com/?p=476343 BofA fined over anti-spoofing supervision in U.S. Treasury markets

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