Two individuals have been barred from the securities industry for cheating during their online qualification exams
After nearly 600 examinations, FINRA has signaled changes to the focus of Reg BI and Form CRS exams are afoot
FINRA charges the firm sent its customers 270 million inaccurate trade confirms dating back from November 2008 through the present
Independent counsel's report found no evidence of an improper agreement to remove certain arbitrators from arbitration cases
NSC was charged with attempting to artificially influence the aftermarket in 10 offerings for which it served as underwriter
Last year, the SRO issued $90.1 million in fines, according to new report
The SEC claims the defendants failed to comply with both Reg BI's "Care Obligation" and "Compliance Obligation"
Thousands of instant messages sent and received through reps' cell phones not captured, reviewed, retained
FINRA calling out the recent blossoming of multiple cases involving books and records violations, an exam focus
Temporary hold and trusted contact provisions seen as "critical tools in the fight against elder financial abuse"