Company: Financial Industry Regulatory Authority

349 results found

BofA sanctioned for millions of reporting lapses over 10 years

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A temporary pandemic innovation is being made permanent

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SEC proposal to narrow FINRA exemption should benefit brokers

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Firms are increasingly reporting digital signature falsification

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The SRO proposed cutting the trade reporting deadline from 15 minutes to 60 seconds

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Proposal would narrow exemption from FINRA for prop trading firms

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SRO brings first cases to allege investment banking exam takers cheated on remote tests

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The U.S. SRO aims to detect misconduct in under-the-radar market


Firm's systems failed to spot clients who were eligible for cheaper fund series

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Sales practices, supervisory issues dog alt fund sales, says the United States Financial Industry Regulatory Authority