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Finra orders two Stifel divisions to pay $2.3mn after losses incurred by 381 customers who held the products too long
And more on the zombie notpocalypse
Finra proposal would allow performance projections in marketing to wealthy and institutional investors
Americans collectively lose billions of dollars every year in unnecessary interest payments and investment costs
Reporting of fractional share transactions has resulted in artificial increase in volumes, say academics
Industry figures fear a ‘nanny state’ move to protect retail investors could exclude them from a swath of products
Blank-cheque company set to merge with former president’s start-up receives inquiries from SEC and Finra
Borrowings to buy securities dipped to lowest level since March
Finra says retail trading platform caused ‘widespread and significant’ harm to customers
Surprise, surprise.
Trading platform caught in GameStop frenzy is subject of multiple investigations into outages
Market-maker traded ahead of customer over-the-counter orders over 2-year period
Volatility index jumped in the moments before derivatives contracts were priced
Regulations give advisers powers and obligations to protect customers at risk of fraud
An FT explainer on the fear gauge and why it was created
The volatility measure may have worsened market turmoil and is now under investigation
Finra to look into whether traders have tried to influence derivatives prices
Wall Street watchdog for broker-dealers is in the sights of the SEC
Securities-based loans have boosted profits at Morgan Stanley and Bank of America
Flawed data feed meant some shares were tagged ‘buy’ rather than ‘sell’
Surging stocks prompt US regulator alert over potential cryptocurrency ‘scams’
Profession fears it is being sacrificed over desire to punish individuals for misdeeds
A scam promising profits from Hamilton ticket sales was recently uncovered
Regulators and clients are taking a greater interest in data storage
International Edition