Two-thirds of survey respondents failed basic quiz on investing
New data sheds light on OTC trading that takes place outside of alternative trading systems
Firms allegedly charged excess fees on education savings plans
More than 2,800 trades were placed in the accounts of a client with a severe impairment
New report says expungements are being granted "as a matter of course"
Retail investors' knowledge is "alarmingly low," according to report
FINRA has developed resources to help firms comply with the SEC's new conduct rules
Scams with the highest engagement and victimization rates involve social media
The U.S. self-regulatory organization's head of enforcement is stepping down after two years
Settlements generate US$89 million in restitution