Company: Financial Industry Regulatory Authority

393 results found

But new standard must be created under U.S. securities laws for several reasons, says CEO of U.S. SRO

The firm failed to accurately report its short interest positions in certain securities

Tougher sanctions against those who commit fraud or make unsuitable recommendations to clients

RBC Capital Markets ordered to pay restitution to customers for supervisory failures

Brokers may be recommending riskier, possibly unsuitable securities

Report outlines non-traditional costs of fraud

New unit to focus on improving how the U.S. watchdog analyzes and uses data

Most incidents involve fraudulent emails or malware

U.S. regulator continues to find shortcomings with firms aligning their interests with their customers

Investors urged to look beyond the hype and be watchful for pump-and-dump fraudsters