Company: Financial Industry Regulatory Authority

389 results found
a man interrupts a cascade of falling dominoes

SRO adopts rule changes to enhance investor protection

New research proposes grassroots, disruptive tactics, as repeat victims tend to ignore traditional warnings

FINRA research finds 40% lacked the capacity to handle a crisis before Covid-19

Loneliness, cognitive decline and an increased reliance on the internet intensify investors' vulnerability

New research confirms surge of new young investors

Game-like trading apps and Reg BI top the U.S. SRO's compliance exam agenda

Business lawyer team. Working together of lawyer in the meeting.

SRO targets repeat offenders with new rule requiring restricted deposits

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

FINRA study finds literacy is associated with future financial capability

Age, vulnerability added to FINRA penalty guidance as aggravating factors

Research finds disconnect in investors' reported risk tolerance