FINRA Expands Transparency of OTC Equity Trading Volume

WASHINGTON, DC (STL.News) Beginning Monday, FINRA is expanding its ongoing transparency initiative for the over-the-counter (OTC)…

FINRA News: Statistical Overview of Brokerage Firms, Registered Representatives, Trading Activity

WASHINGTON, DC (STL.News) – FINRA Wednesday published the 2019 FINRA Industry Snapshot, its second annual statistical…

FINRA EVP of Office of Fraud Detection and Market Intelligence Cameron Funkhouser Announces Retirement

FINRA Friday announced the retirement of Executive Vice President Cam Funkhouser after more than 35 years…

FINRA Announces Final Results of Mutual Fund Waiver Initiative

Total of 56 Settlements Reached with Member Firms Resulting in $89 Million in Restitution to Eligible…

Business News: FINRA Fines Citigroup Global Markets Inc. $1.25 Million

FINRA Fines Citigroup Global Markets Inc. $1.25 Million for Failing to Appropriately Fingerprint or Screen Employees…