New technology will lead to enhanced efficiencies and reduced compliance costs for firms
Tim Scheve replaces John Thiel who left the board of the U.S. self-regulatory organization earlier this year
The U.S. self-regulatory organization is looking to improve arbitration payouts to clients
Uniform standards to protect U.S. investors take effect
Harassing and abusive conduct violates ethical principles
The helpline aims to provide immediate answers on basic compliance questions
Areas of focus include fraud, high-risk firms and brokers, technology governance and cybersecurity, and market regulation
An investor alert warns against buying the stock of companies that tout the prospect of high returns from their cryptocurrency activities
A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have conflicts of interest”
Proposed changes aim to make the program work better for investors