FINRA

FINRA makes dark-pool data public

FINRA has begun providing data indicating the activity levels in each alternative trading system (ATS), including all market facilities commonly called "dark pools."

By Staff |June 3, 2014

2 min read

Low financial literacy plagues millennials

Millennials display low levels of financial literacy, engage in problematic financial behaviors and express concerns about their debt, according to a FINRA Investor Education Foundation study.

By Staff |March 11, 2014

2 min read

FINRA bars J.P. Morgan VP, broker friend for insider trading

The Financial Industry Regulatory Authority (FINRA) has announced that it has barred David Michael Gutman, a vice president in the conflicts office of J.P. Morgan Securities, LLC, and Christopher John Tyndall, a former registered representative at Meyers Associates, L.P., from the securities industry for their roles in an insider trading scheme.

By Staff |January 16, 2014

2 min read

FINRA outlines 2014 priorities

The Financial Industry Regulatory Authority (FINRA) today released its 2014 Regulatory and Examination Priorities letter, which highlights significant risks and issues that could adversely affect investors and market integrity this year.

By Staff |January 3, 2014

1 min read