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Company: Financial Industry Regulatory Authority

394 results found
Review process

FSRA flags few issues at credentialing bodies

Regulator reports results of first supervisory reviews at planner/advisor titling organizations

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

FINRA fines firm over finfluencers

SRO brings first case following compliance review targeting firms' use of online influencers

right or wrong choice

FINRA revises arbitration rules

Changes come in the wake of independent review of SRO's arbitration program

U.S. investor advocates take aim at RIA arbitration

Firms use forced arbitration to discourage clients from pursuing complaints

Crypto coins

Most crypto communications may be offside: FINRA

Compliance review finds potential violations in 70% of firms' messages

papers on a desk

FINRA reveals evolving compliance threats

SRO sees crypto, AI and new account fraud among emerging issues

OSFI, FCAC to explore industry plans for AI, quantum computing

Study of firms' plans for advanced tech will inform regulation and oversight

penalty card

FINRA sanctions four brokerage houses for improper securities lending practices

Firms to pay US$2.6 million, including US$1 million in client restitution

FINRA sanctions trading oversight violations

BofA fined over anti-spoofing supervision in U.S. Treasury markets

zoom call

FINRA gets green light for remote oversight

SEC approves SRO rules to facilitate work-from-home supervision