Company: Financial Industry Regulatory Authority

386 results found

SRO says top priority is returning money to harmed investors.

Metal handcuffs placed over the word fraud

Fraudsters urging investors to buy new, risky investments, regulators say

rules and regulations

Initial compliance exams will focus on firms' commitment to adopting new requirements

The SRO warns of increased cyberattacks as firms operate remotely

Researchers find men outperform women on investment knowledge and confidence

rules and regulations

The U.S. SRO will charge fees for reporting Treasuries trades

Industry began reporting Treasury trading to FINRA in 2017

Investors may be vulnerable to scams as volatility rises, FINRA warns

The SRO is reviewing the impact of zero commissions on order routing and disclosure

New conduct standards top SRO's compliance agenda