Proposal designed to ensure registration system continues to contain rep information critical to investor protection
FINRA will now oversee 99% of the U.S. equity market
The legalization of marijuana for medical and recreational purposes is getting attention from scammers
Concerns about suitability top the list
CARDS program will help protect investors from sales practice misconduct
Investor Issues Committee to advise U.S. regulator on issues that significantly impact both retail and institutional investors
Revision aims to clarify proposed negligence standard
Alert outlines what closed-end funds are, and how they differ from traditional mutual funds
Law group says FINRA lets brokers sanitize records of complaints after settling arbitration cases
New report details best practices to help firms strengthen their own frameworks for dealing with conflicts