Tag: FINRA

MirrorWeb, a web archiving and monitoring solution, has been listed in the Financial Industry Regulatory Authority (FINRA) Compliance Vendor Directory (CVD).

Financial Industry Regulatory Authority (FINRA) has fined Citigroup Global Markets $1.25m for deficiencies in its background checks.

Compliance automation platform Ascent RegTech has revealed a new Federal regulators pack which supports compliance requirements of a number of legislations.

US regulatory body FINRA has launched an Office of Financial Innovation focused on issues around new uses of fintech by businesses.

FINRA is planning to consolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single program.

Theta Lake, a provider compliance for audio and video communication, today announced that it has joined the RingCentral Connect Platform Partner Program.

FINRA has marked its disciplinary action involving cryptocurrencies by filing a complaint against Timothy Tilton Ayre.

GDPR and MiFID II can create a tension between retention and protection requirements around communications with clients and customers.

Inforalgo has expanded its relationship with a global tier 1 capital markets investment bank to include complex data integration requirements.

The Financial Industry Regulatory Authority(FINRA) is seeking comment on how it can support financial technology innovation in the Broker-Dealer Industry.