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Company: Financial Industry Regulatory Authority

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Areas of focus include fraud, high-risk firms and brokers, technology governance and cybersecurity, and market regulation

  • January 8, 2018 January 8, 2018
  • 15:30

An investor alert warns against buying the stock of companies that tout the prospect of high returns from their cryptocurrency activities

SEC names co-directors of enforcement

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