FINRA

Broker-dealers could optionally leverage catalog to administer education and training for their continuing education firm element programs

Effective Nov. 30 FINRA is discontinuing the collection of data under rule 4540 used in the Integrated National Surveillance and Information Technology Enhancements program

FINRA report concludes that quantum computing could "significantly alter the securities industry in the future"

The guidance follows close on the heels of the Oct. 16 effective date for revised rules relating to the expungement of customer dispute information from ...

The new rule will require certain confidential loan information to be reported to a registered national securities association

FINRA provides an update on targeted exam sweep to review broker-dealers' offering of, and services provided to, SPACs and their affiliates

FINRA charged parties failed to evaluate the activities of two reps engaged in OBAs involving investment funds and private placement offerings

New report offers an overview of one of the most active forms of ransomware in 2023 and recommends mitigation techniques

New amendments modifying FINRA’s process for expunging customer dispute information take effect Oct. 16

People walk by the New York Stock Exchange building in the financial district on Wall Street in lower Manhattan New York USA is home to ...