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Latest news and analysis on Finra (Financial Industry Regulatory Authority) (137 items)

08 May 2024
News
SoFi fined $1.1 million over flawed ID programme that led to multi-million dollar fraud
30 Jun 2021
News
Robinhood to pay $70m in Finra settlement
26 Feb 2021
News
Regulators make inquiries over Robinhood trading restrictions
09 Jul 2019
Company
US regulators seek to clarify digital asset custody rules
14 May 2019
Company
Finra looks to simplify digital experience
30 Apr 2019
Company
Finra forms office of financial innovation
25 Apr 2019
Company
Finra sets up office of financial innovation
05 Feb 2019
News
US reports record surge in electronic trading data
01 Feb 2019
News
Exchanges to fire builder of massive audit trail - WSJ
19 Dec 2018
Company
UBS fined $15 million for AML ovesight failings
10 Sep 2018
Company
Finra releases RegTech report
31 Jul 2018
Company
Finra requests comment on fintech innovation in the broker-dealer industry
06 Jun 2018
News
Circle looks to become licensed bank; Coinbase acquires broker-dealer
12 Apr 2018
Company
Instinet fined for market access rule violations
29 Mar 2018
Company
Finra warns consumes on bank account data sharing risks
24 Nov 2017
Company
JPMorgan fined $1.25 million for failing to screen or fingerprint employees
12 Jul 2017
Company
Finra implements treasury transaction reporting platform
14 Jun 2017
News
Finra to set up fintech industry committee
19 Jan 2017
News
Finra paper explores implications of blockchain for securities industry
16 Dec 2016
Company
Finra fines Deutsche Bank $3.25m over ATS failings
08 Aug 2016
News
Finra fines Deutsche Bank for 'Squawk Box' failures
15 Mar 2016
News
Finra takes a closer look at robo-advisors
18 Dec 2015
Company
Finra sanctions Fidelity Brokerage Services $1 million for supervisory failures
20 Nov 2015
Company
Finra fines Deutsche Bank $1.4 million for regulatory reporting violations
16 Nov 2015
Company
Finra fines Scottrade $2.6 million for failing to retain electronic records
02 Sep 2015
News
Finra warns on use of WhatsApp for pump-and-dump scams
27 Jul 2015
Company
Goldman Sachs fined $1.8m for reporting failures
07 May 2015
Company
SEC approves pilot to assess tick size for smaller companies
06 May 2015
News
Finra backtracks as opposition to Cards projects mounts
13 Mar 2015
News
Women in FinTech - Kitty Parry, founder of the Social Media Charter
04 Feb 2015
Company
Finra issues report on cybersecurity practices
02 Dec 2014
News
Sifma slams Finra data collection plans
30 Sep 2014
Company
Finra seeks comments on Cards proposal
18 Aug 2014
News
Finra charges Wedbush Securities with market access violations
02 Jul 2014
Company
Goldman Sachs fined $800k over dark pool failings
24 Jun 2014
Company
US securities exchanges to analyse consolidated audit trail costings
02 Jun 2014
Company
Finra makes dark pool data available to general public
22 May 2014
News
More data needed to crack down on algo abuse - Finra
24 Mar 2014
Company
Sifma lashes out at Finra Cards concept
18 Mar 2014
Company
Citi fined for short-selling violations
13 Mar 2014
Company
Finra levies $1.2 million fines for reporting violations at Triad and Securities America
11 Mar 2014
Company
Finra issues bitcoin investor alert
05 Feb 2014
Company
BBH slapped with record $8 million AML-fail fine by Finra
02 Jan 2014
News
Barclays fined $3.75m for electronic record keeping failures
19 Dec 2013
Company
Finra fines Deutsche Bank Securities $6.5 million for operational failings
12 Nov 2013
Company
US exchanges set out plans to tackle systems glitches
19 Aug 2013
Company
US regulators issue staff advisory on business continuity and disaster recovery
07 Aug 2013
News
Finra warns of old-school phone phishing scam
05 Aug 2013
Company
Finra fines Oppenheimer $1.4 million for AML violations
22 Jul 2013
Company
Finra acts to boost transparency of mortgage-backed market
01 Jul 2013
Company
Finra taps Morningstar for market data centre relaunch
21 Jun 2013
News
Finra carries out social media spot checks
13 Jun 2013
Company
SEC, Finra warn inestors about pump-and-dump stock spam
22 May 2013
Company
Finra to gain surveillance overrsight of Direct Edge
24 Apr 2013
News
Finra pushes for Wall Street exemption from social media monitoring rules
22 Apr 2013
Company
DTCC makes board appointments
07 Mar 2013
News
Google joins bidders to build US consolidated audit trail system
04 Mar 2013
Company
Finra fines Ameriprise for failing to block unauthourised transfers
28 Feb 2013
News
Finra names Citi's Steven Randich CIO
19 Feb 2013
Company
Finra fines ING $1.2 million for e-mail retention violations