FINRA

"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

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

Last year, the SRO issued $90.1 million in fines, according to new report

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"