Company: Financial Industry Regulatory Authority

393 results found
right or wrong choice

SRO curbs exemptions, toughens firms' approval requirements

Judge's gavel with magnifying glass on black.

Trader engaged in widespread spoofing, authorities alleged

Solar system

Guarding against the emerging threat to encryption will be a long, costly venture, rating agency says

Bitcoin

Much of the industry's involvement may be outside the SRO's perimeter

Organization launches pilot program to allow remote supervision

Solar system

U.S. SRO highlights regulatory implications

Investors were duped with promises of crypto trading returns

SRO says post-pandemic rules facilitate flexible working models

Papers with text, treasury bonds on a table, business concept. stock photo

FINRA starts providing data on individual transactions

Review process

Regulator reports results of first supervisory reviews at planner/advisor titling organizations