Financial industry regulatory authority (finra)
Regulatory panel suggests backtesting internally is best practice
Four new members for Finra board as existing members stand down
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More Financial industry regulatory authority (finra) articles
Regulation the main topic at Structured Products Americas
‘Blast emails’ to retail investors a major offender under Rule 2210
Finra says year-long approval process revealed "notable outliers"
Regulator urged to focus on sophisticated and institutional investors
Caught in the net
A group of PhDs churned through 18,000 structured products issued by 13 leading banks, including Barclays, Goldman Sachs and UBS, to find out what investors in the products earned. In November, they...
The US regulator has published a report saying issuers and sellers should be doing more to manage conflicts of interest that arise when deciding which products to sell and to whom
Huntington National Bank was founded in Ohio, where it remains headquartered to this day. Yakob Peterseil talks to Dave Fitzsimmons, Pittsburgh-based managing director of the equity derivatives grou...
Banks that do not promptly disclose the estimated value of their structured notes risk additional scrutiny, says regulator
In its latest letter, the SEC orders banks to highlight the difference between fair market value and issue price to help investors see what their investment is worth
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