- FULTON FINANCIAL CORP (0000700564) (Filer)
- WASATCH FUNDS TRUST (0000806633) (Filer)
- DELUXE CORP (0000027996) (Filer)
- Hemp Technology, Inc. (0001797956) (Filer)
- ENTERPRISE FINANCIAL SERVICES CORP (0001025835) (Filer)
- FINRA Executive Vice President for Regulatory Policy and Legal Compliance Officer Tom Selman Announces Retirement
- FINRA Promotes Jessica Hopper to Head of Enforcement
- FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter
- FINRA Orders Oppenheimer & Co. Inc. to Pay $3.8 Million in Restitution to Customers for Supervisory Failures Involving Unit Investment Trusts
- FINRA Sanctions Five Firms for Failing to Reasonably Supervise Custodial Accounts
- FINRA, Cboe, Nasdaq, NYSE and Affiliated Exchanges Fine Credit Suisse Securities $6.5 Million for Supervision and Market Access Rule Violations
- FINRA Fines Robinhood Financial, LLC $1.25 Million for Best Execution Violations
- FINRA, NASDAQ, BX, PHLX, ISE, NYSE, NYSE Arca, NYSE American, Cboe, BZX, BYX, EDGA, and EDGX Permanently Bar Samuel Lek and Fine Lek Securities Corporation for Supervisory and Market Access Rule Violations
- Report from FINRA Board of Governors Meeting – December 2019
- FINRA Announces Senior Leadership Team Under New Examination and Risk Monitoring Program Structure