Company: Financial Industry Regulatory Authority

324 results found
Smartphone with finance and market icons and symbols concept

Game-like trading apps and Reg BI top the U.S. SRO's compliance exam agenda

Business lawyer team. Working together of lawyer in the meeting.

SRO targets repeat offenders with new rule requiring restricted deposits

School exam student's taking educational admission test in class, thinking hard, writing answer in university classroom, education and world literacy day concept (School exam student's taking educational admission test in class, thinking hard, writing

FINRA study finds literacy is associated with future financial capability


Age, vulnerability added to FINRA penalty guidance as aggravating factors

Research finds disconnect in investors' reported risk tolerance

red warning flag on a stormy beach

FINRA, NASAA warn investors about pandemic-driven investment frauds

Horizontal Seamless Pattern of the symbols of dollar currency on transparent. Vector background with green signs of dollars. The pattern can be used for your ad, poster, banner of USD money. Vector

SRO aims to boost annual revenues by US$225 million by 2024

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Research finds links between financial knowledge, confidence and mental acuity

Block letters spelling fraud, with magnifying glass

SRO says account intruders, identity thieves turning to options market

Two senior friends laugh affectionately together. The women are standing outside on a sunny but cool day. They are dressed in casual sweaters. One woman is of African descent and the other is Caucasian.

U.S. research finds overconfident elders are susceptible to risky investing