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Company: Financial Industry Regulatory Authority

389 results found

Large dealers embrace remote exams: FINRA

Organization launches pilot program to allow remote supervision

Solar system

Firms’ AI adoption poses compliance challenges: FINRA

U.S. SRO highlights regulatory implications

Former U.S. banker sentenced to prison for crypto fraud

Investors were duped with promises of crypto trading returns

FINRA not to blame for firms’ return-to-office plans

SRO says post-pandemic rules facilitate flexible working models

Papers with text, treasury bonds on a table, business concept. stock photo

Shining more light into Treasury markets

FINRA starts providing data on individual transactions

Review process

FSRA flags few issues at credentialing bodies

Regulator reports results of first supervisory reviews at planner/advisor titling organizations

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

FINRA fines firm over finfluencers

SRO brings first case following compliance review targeting firms' use of online influencers

right or wrong choice

FINRA revises arbitration rules

Changes come in the wake of independent review of SRO's arbitration program

U.S. investor advocates take aim at RIA arbitration

Firms use forced arbitration to discourage clients from pursuing complaints

Crypto coins

Most crypto communications may be offside: FINRA

Compliance review finds potential violations in 70% of firms' messages