American SRO proposes rule to accelerate resolutions for vulnerable investors
Firm violated SEC and SRO rules, including analyst disclosure requirements
Software weakness exposes firms to risk of theft and fraud
Early rollovers result in higher sales charges, suitability issues
The regulator will turn off its over-the-counter trading system on Nov. 8
U.S. firms' compliance and surveillance programs need review, the SRO says
SEC, FINRA, NASAA join forces in investor protection push
New research uncovers some of the traits shared by investment scam victims
Technology presents opportunities as well as challenges for firms, FINRA said
Firms are being asked to keep the SRO informed of plans involving digital assets