Home FINRA
FINRA
Fines issued by the SRO last year were down a whopping 47% compared to the prior year, report says
The number of brokerage firms has declined 7% over the past five years
FINRA seeks input on SRO's rules, operations and processes that most directly apply to capital raising
Come June 1, FINRA's BrokerCheck will reveal whether a broker-dealer is designated a "restricted firm" under rules 4111 and 9561
FINRA has issued two risk alerts in less than six months cautioning about the risks of ACATS fraud
FINRA enforcement action follows on prior exam sweep and sweep update
Broker-dealer implements numerous steps to improve system for approving customers for options trading in wake of enforcement action
The rulebook is designed to enhance broker-dealers' compliance efforts, reduce costs and aid in risk management
Six tips for staying ahead of the cyber-baddies
Enforcement action against Hunnicutt & Co. illustrates the price for falling short of meeting the independent AML testing requirement