FINRA

Three broker-dealers avoided the imposition of fines in mutual fund fee waiver cases due to their cooperation

In part, the proposed amendments are aimed at improving the regulation of underwriting compensation

FINRA charged firm with failing to detect customers with cash accounts who engaged in free-riding in options and issued options

Broker-dealer received underwriting compensation that was "unreasonably and inaccurately described in the offering documents an to FINRA"

A failure to preserve 14,000 records led to a $30,000 FINRA fine

A change impacts the timing of follow up with firms on exam findings that were not highly material

ACP Securities didn't disclose employee's disciplinary history, FINRA claims

A FINRA examination of Morgan Stanley’s compliance with the market access rule has triggered an enforcement action tied to the firm’s failure to conduct reasonable ...

Broker-dealers typically have trade surveillance and asset movement surveillance functions within their compliance structure

FINRA investigative director offers tips to address new account, ACATS, and ACH frauds