A firm settled FINRA charges for failing to supervise the transmittal of customer funds by representatives with power of attorney and for failing to respond to red flags involving unsuitable trading recommendations.
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A dually registered broker-dealer and investment advisor settled FINRA charges for failure to supervise its registered representatives' electronic communications.
FINRA summarized oversight findings drawn between 2021and 2023 by its Member Supervision, Market Regulation and Enforcement programs.
FINRA collated SEC staff bulletins and FINRA resources to improve member compliance with Regulation Best Interest.
A broker-dealer settled charges with FINRA for engaging in 717 instances of "spoofing" in the Treasury securities secondary market.