Company: Financial Industry Regulatory Authority

325 results found
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

Phishing via internet isometric vector concept illustration Hacking credit card information website Cyber banking attack Online security

SRO warns firms about phishing, malware risk

business man using magnifying glass to inspect documents

Supervisory lapses allowed shady trading to go unchecked

Research indicates that women in prison face particular financial challenges

Hi-tech technological background with numbers and calculations

The SRO calls on dealers to disclose any involvement with digital assets

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

Maureen Jensen will serve as a public governor for the U.S. SRO

The SRO's head of market regulation, Tom Gira, died June 20

compliance puzzle

SEC rules take effect June 30

Hi-tech technological background with numbers and calculations

Board approves new enforcement system, proposes rule changes

Federal Hall with Washington Statue on the front, wall street, Manhattan, New York City

SRO says top priority is returning money to harmed investors.