Company: Financial Industry Regulatory Authority

390 results found

Sales practices, supervisory issues dog alt fund sales, says the United States Financial Industry Regulatory Authority

mature woman with tablet

American SRO proposes rule to accelerate resolutions for vulnerable investors

Firm violated SEC and SRO rules, including analyst disclosure requirements

Software weakness exposes firms to risk of theft and fraud

Early rollovers result in higher sales charges, suitability issues

The regulator will turn off its over-the-counter trading system on Nov. 8

U.S. firms' compliance and surveillance programs need review, the SRO says

SEC, FINRA, NASAA join forces in investor protection push

Metal handcuffs placed over the word fraud

New research uncovers some of the traits shared by investment scam victims

man using laptop

Technology presents opportunities as well as challenges for firms, FINRA said