Company: Financial Industry Regulatory Authority

272 results found
senior man giving credit card details on the phone

Recent legislation gives financial firms and employees immunity for reporting incidents

The U.S. regulator aims to enhance compliance and cut costs with its new initiative

fintech and blockchain icons on financial technology background

The Office of Financial Innovation will lead the SRO's handling of fintech-related issues

eb and internet concept with social media and social network signs and words

The SEC and FINRA warn that these investing tools may be "inaccurate, incomplete or misleading"

Phishing via internet isometric vector concept illustration Hacking credit card information website Cyber banking attack Online security

A new report is part of an effort to strengthen cybersecurity at brokerages, particularly small dealers

Businessmen trading stock looking at graphs indexes and numbers on multiple computer screens

Firms receive lower fill rates and higher trading costs

  • January 29, 2019 November 13, 2019
  • 11:00
Wall street sign in New York with American flags and New York Stock Exchange background.

Online distribution platforms are among the emerging issues identified by the U.S. self-regulatory organization

  • January 22, 2019 November 13, 2019
  • 14:45
hacker programing in technology enviroment with cyber icons and symbols

Report aims to help dealers, particularly small firms, ensure they have adequate cybersecurity programs

business people standing in line under a magnifying glass

Inadequate due diligence on products a “common contributor” to suitability failings

The regulator expects the new structure to increase compliance efficiency and effectiveness