FINRA has begun providing data indicating the activity levels in each alternative trading system (ATS), including all market facilities commonly called "dark pools."
Millennials display low levels of financial literacy, engage in problematic financial behaviors and express concerns about their debt, according to a FINRA Investor Education Foundation study.
The Financial Industry Regulatory Authority (FINRA) has announced that it has barred David Michael Gutman, a vice president in the conflicts office of J.P. Morgan Securities, LLC, and Christopher John Tyndall, a former registered representative at Meyers Associates, L.P., from the securities industry for their roles in an insider trading scheme.
The Financial Industry Regulatory Authority (FINRA) today released its 2014 Regulatory and Examination Priorities letter, which highlights significant risks and issues that could adversely affect investors and market integrity this year.
The Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice soliciting comment regarding a proposal called Comprehensive Automated Risk Data System (CARDS).
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co., Inc. $675,000 for charging unfair prices in municipal securities transactions and for failing to have an adequate supervisory system.
U.S. self-regulatory organizations (SROs) for the equities and options markets, including FINRA, have been working with the Securities and Exchange Commission (SEC) staff on their collective plans to strengthen the resilience, performance, disaster recovery capability and governance of the critical infrastructure of the U.S. capital markets, including the Securities Information Processors (UTP, CTA and OPRA).
The Financial Industry Regulatory Authority (FINRA) today announced that its board of governors approved a proposal requiring brokers to disclose recruitment compensation paid to them as an incentive to move to a new firm.
Financial scams are as common as ever, and many Americans can’t spot the red flags, according to a FINRA Foundation survey.
The Financial Industry Regulatory Authority (FINRA) has announced it has fined Oppenheimer and Co., Inc. $1,425,000 for the sale of unregistered penny stock shares and for failing to have an adequate anti-money laundering (AML) compliance program to detect and report suspicious penny stock transactions.