On April 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued two Risk Alerts: one focused on examinations of compliance with Regulation Best Interest [1] (“Regulation BI ...
Finra ramped up the number of disciplinary actions it dished out in 2024, but the total fines dropped by more than a third, according to an analysis from the Eversheds Sutherland law firm. The number ...
TradeStation Securities agreed to an $85,000 penalty, according to the FINRA order. The firm agreed to FINRA’s findings in the matter without admission or denial, and a spokesperson for TradeStation ...
WASHINGTON--(BUSINESS WIRE)--FINRA published today a new report, The Metaverse and the Implications for the Securities Industry. The report is intended to raise awareness among FINRA member firms and ...
Adam Hayes, Ph.D., CFA, is a financial writer with 15+ years Wall Street experience as a derivatives trader. Besides his extensive derivative trading expertise, Adam is an expert in economics and ...
Professor Nicole Iannarone, an expert on regulation of financial intermediaries, consumer expererience in resolving securities disputes, professional ethics, and law and technology, has joined the ...
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