Company: Financial Industry Regulatory Authority

389 results found

Five U.S. brokerage firms failed to waive mutual fund sales charges for charities and retirement accounts

Investors — especially those who are seniors — should be aware of foreign-based fraudulent schemes, the U.S. regulator says

Firms failed to apply sales charge discounts to clients’ purchases of UITs

The proposals are out for comment until Nov. 30

FINRA will publish data on all equity volume executed over-the-counter

Configuration error found in new version of Series 24 supervisory exam

Proposed rule would permit firms to place temporary holds on accounts in cases of suspected financial exploitation

Guidance highlights best practices at U.S. brokerage firms

FINRA alert warns investors to be wary of stock promotions sent through messaging apps

The alert outlines the steps investors can take to minimize the risks they may face in their portfolios