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May 23, 2023
In the first three months of 2023, quite a number of large institutions bought shares of BlackBerry (NYSE:BB) stock, according to recent SEC filings compiled by Fintel.
May 18, 2023
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,...
May 18, 2023
Securities Industry and Financial Markets Association Compliance and Litigation Seminar focuses: digital assets, social media, Reg BI, remote inspections. SEC: how broker-dealers and investment advisors can meet their care obligations when providing investment advice
May 5, 2023
The number of brokerages. that Finra regulates fell last year while the total number of registered representatives increased.
April 6, 2023
The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.
December 5, 2022
The weekly recap of new hires, promotions and job changes in capital markets trading and technology.
May 2, 2022
WASHINGTON – FINRA today published the 2022 FINRA Industry Snapshot , the annual statistical report on the brokerage firms, registered representatives and market activity that FINRA oversees.
May 25, 2021
What You Need to Know The number of broker-dealers registered with FINRA dropped by 82 in 2020. The total number of registered reps dropped 1.1%. FINRAs 2021 snapshot includes new statistics on U.S. Treasury volume and corporate financing filing. The total number of broker-dealers registered with the Financial Industry Regulatory Authority continues to decline, falling by 2.3% — or by 82 firms — to 3,435 in 2020 from 3,517 in 2019, according to FINRA’s 2021 industry snapshot. The total ...