Financial Industry Regulatory Authority

Wall Street watchdog to pick insider as arbitration head - source

The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two of its own long-time officials, according to a person familiar with the matter.

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FINRA studying 'errors and omissions' insurance

FINRA, in its oversight powers, is contemplating the imposition of a requirement of having insurance to cover payouts should the brokerage firm fail.

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FINRA forwards recommendations to clear broker's records

FINRA will be submitting to the SEC a process to clear broker's records.

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