A broker-dealer settled FINRA charges for failing to maintain adequate market access risk management controls.
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A broker-dealer settled FINRA charges for failing to properly manage its market access services.
A broker-dealer settled FINRA charges for failing to preserve business-related text messages sent by its registered representatives on firm-issued iPhones using Apple's iPhone-to-iPhone messaging system.
A broker-dealer settled FINRA charges for failing to (i) implement reasonably designed AML policies, (ii) identify and respond to potentially manipulative trading and (iii) establish sufficient market access controls and procedures.
The FINRA Investor Education Foundation found persistent disparities in taxable investment account ownership among various racial and ethnic groups.