SRO executive leaves after nine years at the agency
SRO examines potential implications of a computing revolution
Regulator adopts new rules to boost transparency around short activity, securities lending
Clients' assets misappropriated rather than invested, U.S. authorities charged
New rule sharply narrows prop traders' SRO exemption
Long-time SRO employee tapped to head division
SRO renews Maureen Jensen's board term for three years
FINRA expels firm; SEC, DoJ charge broker for exploiting vulnerable investors
U.S. SRO aims to enable more efficient oversight as reps continue to work from home
SRO ordered US$48.1 million in monetary penslties in 2022