- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By CW Staff2015-11-02T10:15:00
The Financial Industry Regulatory Authority (FINRA), the largest independent regulator for all securities firms doing business in the United States, recently announced that Chairman and CEO Richard Ketchum has announced his plan to retire in the second half of 2016. The Board of Governors will conduct a search for his ...
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
2016-04-19T14:15:00Z By Joe Mont
Changes may be afoot at the Financial Industry Regulatory Authority as Congress and others ponder whether its duties should expand, compress, or just be folded into the Securities and Exchange Commission. Amid the debates one thing is clear: FINRA is doubling down on its enforcement efforts.
2025-03-12T18:56:00Z By Aaron Nicodemus
Robinhood will pay nearly $30 million in penalties for violating Financial Industry Regulatory Authority rules with shortcomings in its anti-money launderingprogram, as well as supervisory and disclosure violations.
2025-02-06T14:39:00Z By Adrianne Appel
A clearing firm agreed to pay $3.2 million and certify that it put in place compliance measures under an agreement with the Financial Industry Regulatory Authority.
Site powered by Webvision Cloud