FINRA

Changes to Qualification Examination Fees Effective Date: April 1, 2015 ...

Emily Gordy spent 27 years as a financial regulator, most recently as FINRA’s senior vice president of enforcement before joining Shulman Rogers Gandal in Potomac, ...

SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA ...

FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies ...

Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act

SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants Effective ...

Training is a critical component of any cybersecurity program. FINRA drives this home in its new Report on Cybersecurity Practices. Regulators are backing up this ...

In a settlement that seems to offer an object lesson to those caught in the regulatory crosshairs, Foothill Securities was censured and fined $210,000 by ...

The word-search lexicon at Garden State Securities in Red Bank, N.J., includes “disappointed,” “complaint,” and “regulator” – as well as “off the record” and “talk ...

FINRA is already making good on its promise that examiners will review broker-dealers’ approaches to cybersecurity risk management. The SROs 2015 exam priorities letter notes ...