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WASHINGTON—FINRA announced today that an extended hearing panel has expelled broker-dealer NYPPEX, LLC and barred its former CEO Laurence Allen for failing to respond in a timely and complete manner to...
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University of Georgia Professor Recognized for Pioneering Research and Advocacy to Advance Financial Inclusion and Alleviate Racial and Gender Bias in Agricultural LendingWASHINGTON—The FINRA Investor...
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WASHINGTON—FINRA announced today that it has fined UBS Securities LLC (UBS) $2.5 million for Regulation SHO (Reg SHO) violations and supervisory failures spanning a period of nine years.
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The Fellowship Program Gives Military Spouses Resources and Accreditation to Help Their Community Overcome Financial Strains and Advance Their CareersWASHINGTON—The FINRA Investor Education Foundation...
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WASHINGTON—FINRA announced today that it has fined Barclays Capital Inc. (Barclays Capital) $2 million for failing to comply with its best execution obligations in connection with its customers’...
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The Technology is Designed to Enhance Firms’ Compliance Efforts, Reduce Costs and Aid in Risk ManagementWASHINGTON—FINRA announced today that it has launched a machine-readable rulebook initiative...
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Pennington Elected to One of Three Large-Firm Seats on FINRA BoardWASHINGTON—FINRA announced today that Penny Pennington, Managing Partner of Edward Jones, was elected as a large-firm governor of the...
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Playbook Can be Accessed by 1.7 Million Girls, Including 571,000 From Communities of ColorWASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) announced today that it has partnered...
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New Committee Highlights FINRA’s Commitment to Improving DEI in the Securities IndustryWASHINGTON—FINRA announced today that it has established an Industry Diversity Advisory Committee, advancing its...
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REMA brings together the Office of the Chief Economist and the Office of Financial InnovationWASHINGTON—FINRA announced today that it has promoted Jonathan Sokobin to Executive Vice President and Head...
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One in Five Investors Started Investing RecentlyYounger Investors More Comfortable with Risky InvestmentsOne Third of Investors Open to CryptocurrenciesWASHINGTON—A substantial proportion of investors...
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Board Approves Rule Proposals and FINRA’s 2023 Budget, Previews 2023 Report on FINRA’s Examination and Risk Monitoring ProgramWASHINGTON—FINRA’s Board of Governors held its fifth and final meeting of...
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Report Reflects New and Evolving Risks, Industry Trends, and Noteworthy FindingsWASHINGTON—FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member...
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WASHINGTON—FINRA announced today that Jessica Hopper plans to leave FINRA on February 3, after an 18-year tenure culminating in her leadership of the Department of Enforcement.
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WASHINGTON—FINRA announced today that it has fined Barclays Capital Inc. (Barclays Capital) $2 million for failing to comply with its best execution obligations in connection with its customers’...
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The Fellowship Program Gives Military Spouses Resources and Accreditation to Help Their Community Overcome Financial Strains and Advance Their CareersWASHINGTON—The FINRA Investor Education Foundation...
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WASHINGTON—FINRA announced today that it has fined Barclays Capital Inc. (Barclays Capital) $2 million for failing to comply with its best execution obligations in connection with its customers’...
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The Fellowship Program Gives Military Spouses Resources and Accreditation to Help Their Community Overcome Financial Strains and Advance Their CareersWASHINGTON—The FINRA Investor Education Foundation...
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WASHINGTON—FINRA announced today that it has fined Barclays Capital Inc. (Barclays Capital) $2 million for failing to comply with its best execution obligations in connection with its customers’...
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The Fellowship Program Gives Military Spouses Resources and Accreditation to Help Their Community Overcome Financial Strains and Advance Their CareersWASHINGTON—The FINRA Investor Education Foundation...
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