FINRA urges brokerage firms to develop procedures catching AI hallucinations and bias in new 2026 regulatory oversight report ...

The Securities and Exchange Commission has charged a registered broker-dealer with violations of Regulation Best Interest. First Horizon Advisors, LLC, was found to have not maintained and enforced ...

Osaic firm Securities America settles FINRA charges for $3M after failing to supervise mutual fund recommendations that cost ...

Changes in the U.S. capital markets and at the SEC present new opportunities for growth, innovation and refinement of our ...

FLASH FRIDAY is a weekly content series looking at the past, present and future of capital markets trading and technology. FLASH FRIDAY is sponsored by Instinet, a Nomura company. On May 16, 2024, the ...

The Financial Industry Regulatory Authority Inc. on Friday said it had suspended for four months and penalized a California broker, Linda J. Wimsatt, $31,000, plus interest, for violating Regulation ...

A panel of experts highlights the increased scrutiny and enforcement actions by the SEC against financial firms. They discuss the Panuwat case, emphasizing the need for policies to prevent the misuse ...

The North American Securities Administrators Association (NASAA) has approved amendments to the group’s model conduct rules built around the SEC's Regulation Best Interest, according to NASAA ...