Broker-dealer failed to establish, maintain and enforce a supervisory system, including written procedures, reasonably designed to supervise outside accounts
FINRA lists 20 questions that it seeks responses to concerning day trading account approval and risk disclosure requirements
Phishing campaigns employing the tactic of impersonating FINRA execs and ongoing threats from Iranian cyber actors are the subjects of new alerts
FINRA action is aimed at strengthening rule 3240's general prohibition against borrowing and lending arrangements between registered persons and their customers
FINRA report analyzes potential applications, use cases, challenges, and regulatory considerations for brokerage firms concerning metaverse developments
SEC chairman covered developments in equity market structure, central clearing, short selling, and digital engagement practices
About 40% of people who engage with scam messages end up losing money
The firm was further dinged for improperly permitting one of its FAs to engage in securities activities with and for persons in the U.S., when ...
The case offers lessons for brokerage firms involved with complex financial instruments
Examiners looking to determine what kinds of controls firms had in place to ensure that data and information provided to publishers are accurate