Financial Industry Regulatory Authority – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 20 Dec 2024 18:11:42 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Financial Industry Regulatory Authority – Investment Executive https://www.investmentexecutive.com 32 32 FINRA orders restitution to fund investors https://www.investmentexecutive.com/news/from-the-regulators/finra-orders-restitution-to-fund-investors/ Fri, 20 Dec 2024 18:11:42 +0000 https://www.investmentexecutive.com/?p=499055 Firms failed to ensure that investors got fund fee rebates, waivers

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]]> U.S. trade reporting violations spark sanctions https://www.investmentexecutive.com/news/from-the-regulators/u-s-trade-reporting-violations-spark-sanctions/ Fri, 20 Dec 2024 17:39:33 +0000 https://www.investmentexecutive.com/?p=499044 Trio of firms sanctioned for regulatory reporting issues

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]]> Nigerian scammers impersonating legit advisors: SEC https://www.investmentexecutive.com/news/from-the-regulators/nigerian-scammers-impersonating-legit-advisors-sec/ Wed, 11 Dec 2024 21:36:39 +0000 https://www.investmentexecutive.com/?p=498396 U.S. authorities allege that men primarily posed as female advisors

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]]> FINRA poised to hike brokers’ fees https://www.investmentexecutive.com/news/from-the-regulators/finra-poised-to-hike-brokers-fees/ Tue, 12 Nov 2024 20:46:54 +0000 https://www.investmentexecutive.com/?p=496555 Fee increase to be phased in over five years, bring projected revenues in line with expenses

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]]> FINRA reviews day-trading rules https://www.investmentexecutive.com/news/from-the-regulators/finra-reviews-day-trading-rules/ Wed, 30 Oct 2024 17:48:40 +0000 https://www.investmentexecutive.com/?p=495715 SRO considers modernizing rules amid market, investor evolution

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]]> Metaverse poses challenges to securities industry https://www.investmentexecutive.com/news/from-the-regulators/metaverse-poses-challenges-to-securities-industry/ Thu, 24 Oct 2024 20:08:57 +0000 https://www.investmentexecutive.com/?p=495457 SRO examines industry's foray into virtual worlds

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]]> FINRA tightens rules around client lending https://www.investmentexecutive.com/news/from-the-regulators/finra-tightens-rules-around-client-lending/ Wed, 23 Oct 2024 19:54:26 +0000 https://www.investmentexecutive.com/?p=495351 SRO curbs exemptions, toughens firms' approval requirements

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]]> TD failed to oversee Treasuries trader: U.S. regulators https://www.investmentexecutive.com/news/from-the-regulators/td-failed-to-oversee-treasuries-trader-u-s-regulators/ Mon, 30 Sep 2024 21:39:02 +0000 https://www.investmentexecutive.com/?p=493662 Trader engaged in widespread spoofing, authorities alleged

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]]> Quantum threat could be Y2K 2.0: Moody’s https://www.investmentexecutive.com/news/research-and-markets/quantum-threat-could-be-y2k-2-0-moodys/ Thu, 15 Aug 2024 19:06:12 +0000 https://www.investmentexecutive.com/?p=491220 Guarding against the emerging threat to encryption will be a long, costly venture, rating agency says

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]]> FINRA sees deepening connections to crypto https://www.investmentexecutive.com/news/from-the-regulators/finra-sees-deepening-connections-to-crypto/ Tue, 13 Aug 2024 19:41:28 +0000 https://www.investmentexecutive.com/?p=491017 Much of the industry's involvement may be outside the SRO's perimeter

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