Financial Industry Regulatory Authority (Finra)


Finra proposes new registration rule for algorithmic traders

The US Financial Industry Regulatory Authority (Finra) is proposing a rule to register traders responsible for the design, development and modification of algorithmic trading strategies.

US regulators set out supervision and examination priorities for 2016

The US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (Finra) have announced their 2016 examination priorities, targeting new areas and on-going concerns.

Firms face higher penalty costs as global regulators fight misconduct

Global regulators will continue to increase penalties in their battle against market misconduct, according to a survey by Kinetic Partners, part of consulting and advisory firm Duff & Phelps.