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Company: Financial Industry Regulatory Authority

386 results found
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FINRA revises remote work rules

U.S. SRO aims to enable more efficient oversight as reps continue to work from home

Fines graphic

How FINRA spent its enforcement fines

SRO ordered US$48.1 million in monetary penslties in 2022

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Inching toward RegTech innovation

Small, straightforward tech solutions can have big payoffs, OSC TestLab finds

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

FINRA to firm: Get out!

SRO expels brokerage over widespread regulatory violations

Brokerage sector bad boys flagged by FINRA

Firms with history of misconduct identified on BrokerCheck system

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Robinhood sanctioned for 2020 outages

Firm fined for operational failures, service and supervisory issues

FINRA sanctions shortcomings in complaint handling

Online brokerage firm fined for compliance issues related to complaints, options approvals

FINRA flags rising risk of scams targeting seniors

Compliance exam report documents SRO's emerging and ongoing concerns

Retail investors are evolving

Younger demographic has different investing habits and preferences, FINRA research finds

FINRA sees surge in ransomware attacks

Criminals increasingly target small, mid-sized firms, SRO reports