Financial Industry Regulatory Authority

Latest Articles

RIA Tensions Rise as the SEC Opens Door to Third-Party Examiners

Bailey McCann March 23, 2016

IEX Group’s Bradley Katsuyama Crusades for Fairer Markets

Jess Delaney February 29, 2016

The 2015 Trading Technology 40: Steven Randich

February 2, 2015

Ontario Closer Than Ever To Legalization Of Marijuana

For Investors, Legalized Pot Remains a High-Risk Venture

Katie Gilbert July 25, 2014

OneChicago Upgrades OSO Trading Services

October 23, 2011

Finra Adds Education Foundation President

October 4, 2011

Regulators To Scan Firms’ Algo Strategies

September 1, 2011

Rapid Addition To Offer Trading Software

August 30, 2011

Finra: Gold ETFs Safer Than Stocks

August 25, 2011

Concept Buys Alaris Trading Partners

August 1, 2011

U.S. Heads ETF Crackdown

July 13, 2011

Structured Products ‘Area Of Concern,’ Says FINRA Chief

May 24, 2011

FINRA Fines Santander Unit Over Structured Products

April 14, 2011

Regulators Propose Mechanism To Limit Volatility

April 8, 2011

TD Ameritrade: RIAs To Pick SEC Over FINRA

February 7, 2011

Regulators Set Sights on Proprietary Trading

December 16, 2010

Re-arranging the Self-Regulators

Jeffrey Kutler May 4, 2010

FINRA Prepares New Pay-to-Play Rules

Rich Blake April 13, 2010

Contact Info

New York
1270 Avenue of the Americas, Suite 1100
New York, NY 10020
P: +1 212 224 3300

London
4 Bouverie Street
London EC4Y 8AX
P: +44 207 779 8888

Hong Kong
12/F, The Spaces
8 Queen's Road East
Wanchai, Hong Kong
P: +852 2912 8001

Corporate

About Us

Management

Careers

II Press Room

Digital

Masthead

Thought Leadership

Display Advertising

Custom Research

Reprints

FAQs

Events

Events Calendar

Memberships

Market Intelligence

Data & Analysis

Guest Contributors

Insights

Research

Sponsored

Strategic Partners

Subscription

Subscribe to Premium

Register

Register for Free Account

Newsletters

Sign up for II newsletters

© 2025 Institutional Investor LLC. All material subject to strictly enforced copyright laws. Please read our Terms & Conditions, Modern Slavery Act Transparency Statement, Accessibility Statement and Privacy Policy before using the site.

4.00.00 build:2025-04-30 Login