Company: Financial Industry Regulatory Authority

386 results found

SRO says account intruders, identity thieves turning to options market

Two senior friends laugh affectionately together. The women are standing outside on a sunny but cool day. They are dressed in casual sweaters. One woman is of African descent and the other is Caucasian.

U.S. research finds overconfident elders are susceptible to risky investing

SRO warns firms about phishing, malware risk

business man using magnifying glass to inspect documents

Supervisory lapses allowed shady trading to go unchecked

Research indicates that women in prison face particular financial challenges

The SRO calls on dealers to disclose any involvement with digital assets

Maureen Jensen will serve as a public governor for the U.S. SRO

The SRO's head of market regulation, Tom Gira, died June 20

SEC rules take effect June 30

Board approves new enforcement system, proposes rule changes