Company: Financial Industry Regulatory Authority

390 results found
School exam student's taking educational admission test in class, thinking hard, writing answer in university classroom, education and world literacy day concept (School exam student's taking educational admission test in class, thinking hard, writing

Model rules allow brokers to use continuing education to maintain status

BofA sanctioned for millions of reporting lapses over 10 years

A temporary pandemic innovation is being made permanent

stock market

SEC proposal to narrow FINRA exemption should benefit brokers

Digital signature document

Firms are increasingly reporting digital signature falsification

Financial stock exchange market display screen board on the street

The SRO proposed cutting the trade reporting deadline from 15 minutes to 60 seconds

Proposal would narrow exemption from FINRA for prop trading firms

a teacher standing over a student who is hiding test answers in his hidden palm.

SRO brings first cases to allege investment banking exam takers cheated on remote tests

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The U.S. SRO aims to detect misconduct in under-the-radar market

Firm's systems failed to spot clients who were eligible for cheaper fund series