Company: Financial Industry Regulatory Authority

372 results found
Magnifying glass

Regulator adopts new rules to boost transparency around short activity, securities lending

Robber captured

Clients' assets misappropriated rather than invested, U.S. authorities charged

Follow the leader

New rule sharply narrows prop traders' SRO exemption

Long-time SRO employee tapped to head division

Air raid sirens

SRO renews Maureen Jensen's board term for three years

gavel

FINRA expels firm; SEC, DoJ charge broker for exploiting vulnerable investors

woman sitting at laptop

U.S. SRO aims to enable more efficient oversight as reps continue to work from home

Fines graphic

SRO ordered US$48.1 million in monetary penslties in 2022

a woman looking at her computer

Small, straightforward tech solutions can have big payoffs, OSC TestLab finds

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

SRO expels brokerage over widespread regulatory violations