Company: Financial Industry Regulatory Authority

374 results found
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FINRA issues new guidance on brokerage business succession planning

hi-tech technological background

Initiative aims to streamline compliance, facilitate automation

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FINRA sanctioned Barclays Capital for routing orders to its own ATS

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FINRA fined the firm for long-standing compliance issues

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Model rules allow brokers to use continuing education to maintain status

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BofA sanctioned for millions of reporting lapses over 10 years

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A temporary pandemic innovation is being made permanent

stock market

SEC proposal to narrow FINRA exemption should benefit brokers

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Firms are increasingly reporting digital signature falsification

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The SRO proposed cutting the trade reporting deadline from 15 minutes to 60 seconds