Company: Financial Industry Regulatory Authority

374 results found
a woman looking at her computer

Small, straightforward tech solutions can have big payoffs, OSC TestLab finds

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

SRO expels brokerage over widespread regulatory violations

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