Company: Financial Industry Regulatory Authority

350 results found
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Sales practices, supervisory issues dog alt fund sales, says the United States Financial Industry Regulatory Authority

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American SRO proposes rule to accelerate resolutions for vulnerable investors


Firm violated SEC and SRO rules, including analyst disclosure requirements

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Software weakness exposes firms to risk of theft and fraud

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Early rollovers result in higher sales charges, suitability issues

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The regulator will turn off its over-the-counter trading system on Nov. 8

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U.S. firms' compliance and surveillance programs need review, the SRO says

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SEC, FINRA, NASAA join forces in investor protection push

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New research uncovers some of the traits shared by investment scam victims

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Technology presents opportunities as well as challenges for firms, FINRA said