Firms with history of misconduct identified on BrokerCheck system
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
SRO sees surge in scams involving foreign-issuer, small-cap IPOs
SRO seeks information on firms' recent crypto-related communications
FINRA issues new guidance on brokerage business succession planning
Initiative aims to streamline compliance, facilitate automation