The little regulator that could has 10b5-1 plans, SPACs, Twitter, accounting and chief compliance officers in his sights.
FINRA can always be counted on to offer a relative bright spot in a legal and regulatory hellscape.
Somehow the dour lawyers got left out of the party. Shocking, we know.
It’s sort of sorry, if that helps.
Eileen Murray intends to get paid.
The self-regulator’s new chairperson would like to know.
Ami Forte will have to find other ways of getting into elderly rich guys’ pants.
Citi's background check situation is not...strong?
A former Super Bowl champion, too.
Dan Michalow actually filed an official complaint against his former fund.
Where's your sense of fun, FINRA?
After all, it wasn’t misleading any really important clients.
The fines are down 70 percent, but the fun is way way up.
Let’s be friends, guys!
Hmmm, we're not seeing a ton of hands.
Regulator reportedly looking to punish birds for flying.
Bob Muh, come on down!
What's German for "Whisper, dummies!"?
It's awesome to create internal safety committees but FINRA kind of prefers that you, like, make them do stuff.
And it's a certain job at FINRA.
The regulator is going to try and figure out "brokerage firm culture," and why said culture loves things like dwarf tossing, drug using, hooker hiring, etc.