FINRA announced that it has reached settlements with 56 member firms and obtained a total of $89 million in restitution for nearl...
CN Editor
July 18, 2019
FINRA FINES FIRST TRUST PORTFOLIOS $10 MILLION FOR VIOLATIONS RELATING TO GIFTS AND ENTERTAINMENT
ADVANCING FINRA"S MISSION WITH AI
FINRA FOUNDATION RELEASES FINDINGS ON FRAUD AWARENESS AMONG INVESTORS
BANNED ADVISOR GETS JAIL FOR FRAUD IN U.S.
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP