Company: Financial Industry Regulatory Authority

389 results found

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

FINRA, U.S. exchanges found Credit Suisse failed to oversee direct access clients

The firm allowed market access to offshore market manipulators

Two-thirds of survey respondents failed basic quiz on investing

New data sheds light on OTC trading that takes place outside of alternative trading systems

Firms allegedly charged excess fees on education savings plans

More than 2,800 trades were placed in the accounts of a client with a severe impairment

New report says expungements are being granted "as a matter of course"