FINRA

"FINRA has drifted far from its intended purpose," Rep. Lisa McClain said.

FINRA fined three individuals a total of $40,000, a settlement document shows

United First Partners was fined for reporting and supervisory rule violations as part of a wider FINRA disciplinary action involving the firm.

NewEdge Securities was also ordered to pay disgorgement of $750,746 plus interest.

Court challenges to self-regulatory organizations may have the potential to trigger a financial crisis, a law professor warns.

The MSRB said its board at a previously scheduled meeting Thursday authorized the filing of further amendments to Rule G-14 .

FINRA found that Tradeweb had violated an MSRB rule by failing to include the 'NTBC indicator' when reporting certain municipal securities transactions.

Seconds – even just one of them – count, FINRA's fining of MarketAxess shows

Alabama-based Frazer Lanier failed to detect a $500 political contribution by one of the firm's muni finance professionals from a joint checking account, FINRA said.

Independent Financial Group, LLC failed to ensure its employees were offering low-cost options to retail customers looking to rollover a 529 plan to another state.