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 ...
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.
2025-08-15T18:59:00Z By Aly McDevitt
As regulators shift toward rewarding transparency, self-regulation and self-reporting, the way PFS Investments handled a longstanding problem serves as an example of how proactive remediation can turn a costly compliance error into a manageable regulatory outcome.
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.
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