Company: Financial Industry Regulatory Authority

381 results found
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

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

Compliance exam report documents SRO's emerging and ongoing concerns

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

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

Initiative aims to streamline compliance, facilitate automation

FINRA sanctioned Barclays Capital for routing orders to its own ATS