Uniform standards to protect U.S. investors take effect
Harassing and abusive conduct violates ethical principles
The helpline aims to provide immediate answers on basic compliance questions
Areas of focus include fraud, high-risk firms and brokers, technology governance and cybersecurity, and market regulation
An investor alert warns against buying the stock of companies that tout the prospect of high returns from their cryptocurrency activities
A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have conflicts of interest”
Proposed changes aim to make the program work better for investors
The new structure brings greater consistency and uniformity to the process for entering and returning to the brokerage industry
Former IIROC CEO Susan Wolburgh Jenah appointed to second term
FINRA and the SIPC reached an agreement that’s intended to reduce the compliance burden and costs for firms