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 ...

The proposed consolidated rules bifurcate the representative-level examination program and introduce greater flexibility in obtaining and maintaining registrations. On March 8, 2017, the Financial ...

The above button links to Coinbase. Yahoo Finance is not a broker-dealer or investment adviser and does not offer securities or cryptocurrencies for sale or facilitate trading. Coinbase pays us for ...

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 ...

On April 7, 2016, the U.S. Securities and Exchange Commission (SEC) approved a rule proposed by the Financial Industry Regulatory Authority (FINRA) that would require algorithmic trading developers to ...

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 ...

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 ...

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 ...

Just days before its IPO, Robinhood said it received an investigative request from FINRA. The agency is seeking information related to the fact that Robinhood CEO Vlad Tenev and co-founder Baiju Bhatt ...

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