The proposed rules, FINRA Rules 1210-1240 (the “Proposed Rules”), will adopt and consolidate, with amendment, certain National Association of Securities Dealers (NASD) and New York Stock Exchange ...
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The Financial Industry Regulatory Authority Inc. is probing Robinhood Financial CEO Vlad Tenev and co-founder Baiju Bhatt for not being licensed as registered brokers. The online brokerage, whose ...
ROCKVILLE, Md., March 26, 2026 /PRNewswire/ -- StarCompliance (Star), a leading provider of employee and firm compliance technology, today announced the launch of automated FINRA data push ...
The U.S. Financial Industry Regulatory Authority (FINRA) is launching an effort to overhaul its registration systems, the U.S. brokerage firm regulator announced on Thursday. The multi-phase effort ...
Who must register as a representative? Anyone actively involved in the member's investment banking or securities business must be registered as a representative with FINRA. Their duties may include ...
Finra is proposing registration requirements for some back-office supervisory positions. In a notice for comment released today, the Financial Industry Regulatory Authority Inc. proposed a new ...
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