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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

The U.S. SRO seeks to establish an ongoing dialogue on innovation and its possible impact on the financial industry

Forthcoming proposals will include enhanced disclosure, heightened supervision

The SEC and FINRA will hold their national compliance outreach program on July 27

FINRA seniors’ hotline leads to US$4.3 million in reimbursements

The helpline has also led to almost 650 issues being referred to other regulators, the U.S. SRO reports