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
The new structure brings greater consistency and uniformity to the process for entering and returning to the brokerage industry
Former IIROC CEO Susan Wolburgh Jenah appointed to second term
FINRA and the SIPC reached an agreement that’s intended to reduce the compliance burden and costs for firms
Deutsche Bank, Citigroup, J.P. Morgan and Interactive Brokers have been cited for violating market access rules
The new unit aims to consolidate the self-regulatory organization’s existing separate enforcement teams
The rules, which come into effect next May, aim to help retail investors monitor bond trading costs by bolstering price transparency
FINRA requires reporting of secondary-market transactions in Treasury securities
William Heyman will take the helm at the U.S. SRO in July