Company: Financial Industry Regulatory Authority

372 results found
Female tax inspector looking at corporate financial documents with magnifying glass

Firms with history of misconduct identified on BrokerCheck system

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Firm fined for operational failures, service and supervisory issues

gavel

Online brokerage firm fined for compliance issues related to complaints, options approvals

senior man giving credit card details on the phone

Compliance exam report documents SRO's emerging and ongoing concerns

Diverse group of four adult men and women laughing while standing close together around a tablet computer

Younger demographic has different investing habits and preferences, FINRA research finds

cybersecurity of network of connected devices and personal data security, concept on virtual interface with consultant in background

Criminals increasingly target small, mid-sized firms, SRO reports

Metal handcuffs placed over the word fraud

SRO sees surge in scams involving foreign-issuer, small-cap IPOs

cryptoassets regulation

SRO seeks information on firms' recent crypto-related communications

senior colleague back to work with face mask greeting on each other in office morning stock photo

FINRA issues new guidance on brokerage business succession planning

hi-tech technological background

Initiative aims to streamline compliance, facilitate automation