Firm ordered to pay restitution to clients for fund overcharges
Barclays, Goldman Sachs and Merrill Lynch fined for providing incomplete trading data
The goal is to increase market transparency and thereby enhance investor confidence
Rule change will significantly increase FINRA’s ability to deter self-trading that disruptive to the marketplace
Company dumps anti-class action stance after FINRA order
Amendments would expand firm’s obligations to verify the accuracy and completeness of info contained in applications for registration
Alert outlines risks surrounding digital currencies
FINRA Foundation study looks at behavior and attitudes of Americans aged 18-34
PIABA says regulator omits information from BrokerCheck service
Berthel Fisher, Securities Management & Research consent to regulator’s findings