The board also approved initiatives to enhance transparency in fixed income markets
Investors urged to consider how an investment might fit as part of a well-diversified portfolio
U.S exchanges to experiment with $0.05 stock tick size
Firm failed to provide clients best execution in 22,000 transactions
Regulator alleges firm failed to allocate sufficient resources to ensure appropriate risk management controls
Two industry governors, two public governors join to FINRA board
“Pump and dump” scammers looking to capitalize on fears of a potential pandemic
Seidt stresses the importance of maintaining the integrity of CRD data
Client settlements can’t force a clean record
Review to consider possible enhancements improve transparency, impartiality, and efficiency