Financial Industry Regulatory Authority

2022 Regulatory Outlook: A Year of Big Developments?
Robinhood to Pay $70M to Settle FINRA Probe
SEC Approves New Markets Oversight System
Oppenheimer Fined $3M Over ETF Sales
SEC Approves Program for Small-Cap Companies
SEC Seeks to Rein in Off-Exchange Traders
Securities-Backed Loans Draw FINRA’s Eye
Citigroup Fined $15M Over Research Analysts’ Conflict
Stock Exchanges on Track to Develop Audit Trail System