News Topic: FINRA

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George Cook could have joined Somerset Trust, where his father is CEO. Instead, he founded Honeycomb Credit, a crowdfunding platform that competes with banks. ... Read full article

Agencies like Fincen and Finra that use machine learning must pay close attention to potential bias in supervisory algorithms, especially with data on women and minorities. ... Read full article

More traditional players interested in creating a safer market for digital assets have issued a checklist that cryptocurrency firms can follow to build confidence among banks, consumers and regulators. ... Read full article

The alleged supervisory lapses occurred over a five-year period, according to the regulator. ... Read full article

The fintech's new products may violate several banking and securities regulations and could mislead the public about the differences between coverage on banking and investment accounts, industry officials say. ... Read full article

Sen. Elizabeth Warren is struggling to get data that shows how bad sexual harassment might be on Wall Street. ... Read full article

The self-regulatory body says working with data aggregators increases risk of cyber fraud, unauthorized transactions and identity theft. But aggregators say other links in the information chain are more vulnerable. ... Read full article

Sen. Elizabeth Warren, D-Mass., and two colleagues are seeking more information from securities regulators about whether Wall Street firms are covering up signs of sexual harassment. ... Read full article

Banks have strictly controlled adviser-client text communications due to regulatory concerns. ... Read full article

A House bill would create a database to track true ownership of corporations; Wall Street regulator wants banks to improve disclosure of risks to consumers. ... Read full article

It will pay $11.5 million to resolve Finra claims that a brokerage unit displayed inaccurate research ratings for hundreds of securities for nearly five years. ... Read full article