New rule sharply narrows prop traders' SRO exemption
Long-time SRO employee tapped to head division
SRO renews Maureen Jensen's board term for three years
FINRA expels firm; SEC, DoJ charge broker for exploiting vulnerable investors
U.S. SRO aims to enable more efficient oversight as reps continue to work from home
SRO ordered US$48.1 million in monetary penslties in 2022
Small, straightforward tech solutions can have big payoffs, OSC TestLab finds
SRO expels brokerage over widespread regulatory violations
Firms with history of misconduct identified on BrokerCheck system
Firm fined for operational failures, service and supervisory issues