Tag: FINRA

Retail investors have become a powerful force in the options market, with their share estimated to range between 45% and 60%, depending on how it's calculated. Although their activity surged during the pandemic, it has remained strong, fuelled by the appeal of options as a versatile and leveraged instrument that supports a range of short-term and event-driven strategies.

In the evolving landscape of work, particularly in hybrid and remote settings, tools that enhance connectivity and engagement, like Zoom's Workvivo, are becoming indispensable for fostering a vibrant workplace culture.

Financial services firms are being urged to stay vigilant as reports emerge of executives and employees being impersonated in WhatsApp scams that have led...

In the complex arena of financial regulation, the challenges are akin to a non-stop deluge of requirements that continually evolve and expand.

FINRA has released its 2025 Regulatory Oversight Report, providing critical guidance for member firms to fortify their compliance programs. This report underscores FINRA’s commitment...

CoreNest Capital, a venture capital firm specialising in financial innovations, has announced a strategic investment in Texture Capital Holdings.

In the financial regulatory landscape, understanding and adhering to FINRA's Rule 2090, commonly known as the KYC rule, is crucial for brokerage firms.

FINRA enforces rules designed to protect investors from unethical practices and prevent financial losses.

LinkedIn has become an essential tool for professionals, especially within the financial services industry. According to Theta Lake, with its impressive networking capabilities, LinkedIn...

In the financial services sector, tracking employee compliance such as licensing, registrations, and continuing education is a complex task.