The Financial Industry Regulatory Authority (FINRA) and the United States Securities and Exchange Commission (SEC) are both financial agencies that protect investors against securities fraud, also known as “investment fraud,” which is the practice of...
Day trading is a stock market practice where an investor buys and sells stocks in the same day with the intent of making a profit. While this is legal, it is sometimes a risky investing maneuver. As such, the SEC and FINRA have special rules that deal with day...
A new name hasn’t given Hospitality Investors Trust a clean slate. Investors in this real estate fund, formerly known as American Realty Capital Hospitality Trust, have seen their share values plummet, and a lawsuit, filed recently in federal court, charges...
FINRA, or the Financial Industry Regulatory Authority, was created as a national organization that writes rules and regulations for professionals in the financial industry, licenses these individuals and organizations, and provides avenues for compensation and...
The Financial Industry Regulatory Authority (FINRA) creates rules and regulations for professionals in the financial industry. FINRA also creates pathways for the victims of bad financial advising, negligent brokerage, and other financial harms to seek compensation...
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