Commissioner characterized the penalties associated with off-channel communications-related enforcement actions as "astonishing"
FINRA enforcement action flags need to require multi-factor authentication for third-party service providers
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
New rule will require institutional investment managers meeting or exceeding certain thresholds to report on Form SHO short position data and activity for equity securities
Proposed rule would prohibit national securities exchanges from offering volume-based transaction pricing tied to the execution of agency or riskless principal orders in NMS stocks
Fidelity Brokerage Services will pay a $900K penalty to settle FINRA charges it didn't have a system reasonably designed to approve options trading applications
The SEC charged 10 firms for widespread and longstanding failures to maintain and preserve electronic communications
SEC Enforcement Director reminds that there are "real benefits to self-reporting, remediating and cooperating"