Financial Industry Regulatory Authority
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FINRA Statement to Correct Misinformation About the New Residential Supervisory Location Rule
on 11/21/2024 at 11:24 AM
FINRA's new rules for evolving work models — hybrid and remote —provide member firms greater flexibility for their registered persons to work from home. Our new Residential Supervisory Location (RSL) Rule and Remote Inspections Pilot Program Rule are intended to provide member firms […]
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SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program
on 11/21/2024 at 11:24 AM
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB) and FINRA announced today that registration is now open for both in-person and virtual attendance of their Compliance Outreach Program for municipal market professionals. The event is open to the public and […]
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Financial Professional or Artificial Intelligence? FINRA Foundation Report Examines Which of These Consumers Trust More
on 11/21/2024 at 11:24 AM
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) has released a new report, The machines are coming (with personal finance information). Do we trust them?Despite the growing popularity of artificial intelligence (AI), very few consumers knowingly turn to AI for […]
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FINRA Publishes 2024 Industry Snapshot
on 11/21/2024 at 11:24 AM
FINRA published the 2024 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms and market activity that FINRA oversees. […]
Securities and Exchange Commission
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
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SEC Charges Three Senior Executives in Two...
on 11/20/2024 at 8:33 PM
The Securities and Exchange Commission today charged Gautam Adani and Sagar Adani, executives of Adani Green Energy Ltd., and Cyril Cabanes, an executive of Azure Power Global Ltd., for conduct arising out of a massive bribery scheme. According to t […]
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SEC Charges BIT Mining with FCPA Violations in...
on 11/18/2024 at 2:49 PM
The Securities and Exchange Commission today announced that BIT Mining Ltd., formerly known as 500.com Limited, agreed to pay a $4 million civil penalty to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) from 2017 to 2019 by […]
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SEC Charges Invesco Advisers for Making...
on 11/08/2024 at 12:33 PM
The Securities and Exchange Commission today charged Invesco Advisers, Inc. for making misleading statements about the percentage of company-wide assets under management that integrated environmental, social, and governance (ESG) factors in investment […]
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JP Morgan Affiliates to Pay $151 Million to...
on 10/31/2024 at 7:52 PM
The Securities and Exchange Commission today charged J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Investment Management Inc. (JPMIM) – both affiliates of JPMorgan Chase & Co. (JP Morgan) – in five separate enforcement actions for failures […]