Additional pricing information would better enable retail investors to evaluate the cost and quality of services firms provide
Fraudsters continue to use dormant shell company scams to manipulate stock prices
CARDS would provide U.S. regulators with client account and transaction data
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