U.S. self-regulatory organization moving to a non-executive chair structure for its board governance
A study released by the FINRA Foundation provides insights on underserved populations
Robert Cook succeeds Richard Ketchum
Oppenheimer & Co. failed to enforce written policies
Regulatory reporting by FINRA members could provide important new information about day‑to‑day activity in both inter‑dealer and dealer‑to‑client markets
FINRA alert summarizes how equity crowdfunding works
Stephens, Inc. fined US$900,000
Managing emotions around financial decisions is critical to avoiding fraud
Misrepresentations made replacement annuities appear more beneficial, even though they were typically more expensive than clients’ existing annuities, FINRA says
New reports designed to help firms spot and halt potential market manipulation