Financial Planning

FINRA rules pushed sketchy brokers toward insurance registration: Study

FINRA rules for greater scrutiny of brokers with misconduct records may have simply nudged those individuals into insurance registrations with more lax supervision, a new study found. Processing ...
Compliance Week

FINRA dings JPMorgan Securities $190K over registration, supervision failures

The Financial Industry Regulatory Authority fined JPMorgan Securities $190,000 for unregistered investment banking activities and not having a supervisory system reasonably designed to achieve ...
Nasdaq

What It Means to Be Regulated by FINRA

Have you ever wondered who protects investors—and how? If you invest, it can pay to know about FINRA, the Financial Industry Regulatory Authority. FINRA is a not-for-profit organization authorized ...
Business Insider

RegEd Advances its Market-Leading Compliance and Registration Management Solutions to Ensure the Industry’s Seamless Transition to FINRA’s New API Platform

Raleigh, NC, Oct. 28, 2024 (GLOBE NEWSWIRE) -- RegEd, the leading provider of compliance and RegTech solutions for the financial services industry, today announced significant enhancements to its ...