By Joe Mont2015-05-11T11:45:00
The SEC has approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority for a two-year pilot program that will widen the minimum quoting and trading increments, known as tick sizes, for stocks of some smaller companies. The program—to begin May 6, 2016—will include stocks of ...
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2026-03-06T20:43:00Z By Adrianne Appel
Financial services company Canaccord has been hit with an $80 million penalty by the U.S. Treasury’s Financial Crimes Enforcement Network (FInCEN)–the largest FinCEN penalty against a broker-dealer in its history.
2026-02-05T23:12:00Z By Adrianne Appel
The Financial Industry Regulatory Authority (FINRA) has welcomed artificial intelligence (AI) with open arms—and also caution.
2025-12-24T19:04:00Z By Tom Fox
FINRA’s rules are intended to be technologically neutral. They apply when companies use GenAI or similar technologies in their businesses, just as they apply when companies use any other technology or tool. But what does that mean for a compliance professional using GenAI?
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