Broker-Dealers

Firm has paid regulators $184.5 million since 2020

The SEC simultaneously announced three enforcement actions against firms for violating the identity theft red flags rule

During the SEC's investigation, Aegis Capital revised its WSPs to prohibit the firm from purchasing VSRPs for retail customers

"required FINRA membership for many of these currently-exempt firms would help enhance robust and consistent oversight"

"the proposal seems incompatible with a world in which multiple national securities associations operate. Rather, the proposal seems more likely to entrench FINRA further as ...

B-Ds automated surveillance system produced up to 500,000 alerts for manipulative trading per year

U.S. adults were able to grow their personal finances during the pandemic despite myriad economic disruptions

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