Firm overstated trade volume in 3,300 instances by 446 million shares over a three-year period
Settlement stemmed from activity relating to a Texas-headquartered broker-dealer's incubation of three start-up companies
FINRA charges firms for failing to provide to retail investors a "fair and balanced" presentation of the benefits and risks of crypto assets
A 2021 FINRA targeted exam sweep first shone the spotlight on finfluencer social media programs and their attendant compliance risks
"The Custodian simply is acting as an agent in connection with staking the deposited Covered Crypto Assets on behalf of the owner"
Ten questions and answers tackle broker-dealer financial reponsibility and transfer agents
A jount 2019 SEC/FINRA statement aimed at the perceived enhanced risks of custodying digital asset securities has been withdrawn effective immediately
Broker-dealer self-reported its failure to submit to FINRA accurate statistical and summary information regarding written customer complaints
The staff of the Division of Trading and Markets releases these frequently asked questions relating to crypto assets and distributed ledger technology
Third-party risk was the single most clicked on topic in the 2025 FINTA Annual Regulatory Oversight Report