Alabama-based Frazer Lanier failed to detect a $500 political contribution by one of the firm's muni finance professionals ...

Prepare for success with the Securities Institute of America. Comprehensive training, study materials, and tools to help you ...

One of the easiest and most common ways to buy and sell stocks, mutual funds, and bonds is through a brokerage house.

The Wall Street watchdog is facing criticism from lawmakers, along with two lawsuits, that could theoretically redefine the ...

A former Hartsdale securities broker has been banned from the industry for six months, fined $10,000 and ordered to return ...

While the system monitored equity trades, it did not cover these specific products. As a result, more than 20,000 customer accounts circumvented full cash payments, engaging in trades without ...

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Both sides, the firms as well as the regulators, want to clean up their books going into the new year,” one executive said.

The Financial Industry Regulatory Authority issued fines against four large banks to end 2024, all for different alleged ...

A three-person Finra Dispute Resolution Services panel the day after Christmas awarded a Wells Fargo Advisors client $3.4 ...

Of the penalized firms, Edward Jones paid the largest amount in restitution: $4.4 million, according to industry self-regulatory organization Finra. Osaic and Cambridge paid $3.1 million and $ ...

On December 20, 2024, FINRA requested public comment on its proposed rule changes to Rules 5110 (Underwriting Terms and Arrangements), 5121 (Public Offerings of Securities With Conflicts of ...