Leaders at Finra, the brokerage industry’s self-regulator, are piloting a program to encourage firms to self-report compliance failures. Brokerage firms facing scrutiny over a potential compliance ...

Piling on guardrails is the sign of a system permanently compensating for its own unreliability. There’s a better approach.

“We want to eliminate surprises down the road,” says Matt Minerva, a vice president and chief counsel at Finra’s enforcement division. Brokerage firms facing scrutiny over a potential compliance ...

In a week in which Nottingham Forest achieved one of their two goals this season - and narrowly missed out on the other - thoughts now turn to the future. Securing Premier League survival with two ...

Previously, in Absolute Batman #19, it was suggested that The Joker was behind the death of Thomas Wayne as part of a setup to turn Bruce Wayne into Batman Absolute Batman #19 by Scott Snyder and Nick ...

According to religious belief, reciting the Sundarkand properly removes all obstacles in a devotee's life and bestows the blessings of Lord Hanuman. If you are also planning to recite the Sundarkand, ...

Absolute Batman #21 Cover A Nick Dragotta Absolute Batman #21 Cover B David Nakayama Connecting Variant Absolute Batman #21 Cover C Nick Dragotta Variant Absolute Batman #21 Cover D Doug Mahnke ...

Now sites have a new way to spy on their visitors: measuring subtle interactions with their solid-state drives. The technique ...

Brokerage firms facing scrutiny over a potential compliance violation have long been able to help their cause by engaging with regulators throughout the process. Now Finra, the brokerage industry’s ...