Two affiliated broker-dealers settled FINRA charges for lacking reasonable cybersecurity controls at branch offices. The failures resulted in multiple incidents that exposed thousands of customers' personal information.
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A firm settled FINRA charges for improperly programming trading algorithms, which resulted in orders being improperly sent to the market.
FINRA adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day.
A firm settled with FINRA for charging unfair prices in corporate and municipal bond transactions and for failing to establish and maintain a supervisory system reasonably designed to achieve compliance with its fair pricing obligations.
An SEC final rule expanding the definition of "broker-dealer" under the Securities Exchange Act was published in the Federal Register.