The Financial Industry Regulatory Authority (FINRA), a Wall Street regulator, has issued new guidance for broker-dealers on the penalties they could face for violating anti-money...
One of the agencies tasked with monitoring the behavior of stockbrokers and other Wall Street professionals is trying to capitalize on the sudden unemployment of...
Securities and Exchange Commission (SEC) Chair Gary Gensler on Monday (May 16) told an audience during the 2022 FINRA annual conference that until there is...
The Financial Industry Regulatory Authority has said it’ll only take actions against chief compliance officers who don’t carry out specific supervisory responsibilities designated by the...
Robinhood and CEO Vlad Tenev are under investigation after it was found out Tenev isn’t licensed by Wall Street regulator the Financial Industry Regulatory Authority...
Robinhood Financial LLC was hit with a record $57 million fine and also ordered to pay $12.6 million in restitution plus interest, according to a...
The Financial Industry Regulatory Authority (FINRA) has fined Citigroup’s global markets business $1.25 million for not performing background checks on thousands of non-registered employees for...
Amid the news this week that a new cryptocurrency would debut — that would be Facebook’s Libra, of course — might the regulatory landscape be...