FINRA

Despite the numbers of broker-dealer firms continuing to fall, reps serving the brokerage industry have hit their highest level in five years

Barclays twice self-reported violations of the rules relating to research analyst conflicts of interest leading to a $700K fine

The three-year pilot program allows eligible firms the option of conducting inspections of some or all branch offices remotely

The enforcement action yet again offers the lesson learned to continually check the veracity of your automated processes and to scrutinize the work of your ...

Artificial intelligence was flagged as an “emerging risk” in the 2024 FINRA Annual Regulatory Oversight Report and the SRO cautioned that the use of AI ...

FINRA charged TD Ameritrade with not exercising "reasonable due diligence" before approving certain customers to trade options

FINRA exam sweep status update featured questions brokerage firms should consider asking when approving options trading

Priorities include protecting investors and markets, enhancing transparency, reducing the time to complete cases, and improving internal collaboration

SRO warns of fraudulent e-mails purporting to be from FINRA and using e-mail addresses designed to look like they are those of FINRA execs

FINRA charges that posts made by influencers on social media sites on behalf of a Texas-based broker-dealer were "not fair or balanced"