FINRA

The cost of best execution failures is ratcheting up substantially—at least for Citigroup Global Markets. The broker-dealer was fined a mere $28,500 in October 2010 ...

SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions ...

If you go to arbitration with a dissatisfied customer, you will no longer be able to settle the case contingent on the customer’s agreement not ...

FINRA Revises the Series 24 and 23 Examination Programs Implementation Date: October ...

Securities Exchange Act of 1934Section 19 -- Registration, Responsibilities, and Oversight of Self-Regulatory OrganizationsRegistration procedures; notice of filing; other regulatory agenciesThe Commission shall, upon the ...

FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer” Implementation ...

If you go to arbitration with a dissatisfied customer, you will no longer be able to settle the case contingent on the customer's agreement not ...

FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council ...

SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information ...

While the current, unofficial industry standard is one second, broker-dealers should expect to have to synchronize their trading clocks to within a millisecond (1/1000 of ...