FINRA has said JP Morgan filed allegations of misconduct of its employees up to two years later than required 89 times.
FINRA has fined Interactive Brokers for failing to comply with short selling rules between 2012 and 2015.
Nasdaq and FINRA will increase reporting fees as costs of operating its trade reporting facility have risen 16% since 2012.
Crypto platform Uphold will buy broker-dealer JNK Securities and will apply to operate an alternative trading system (ATS) in the US.
Financial authorities in Asia and the US fined agency broker Instinet for several violations related to market access and trading systems.
Richard Ketchum served as chief executive officer and chairman at FINRA from 2009 until last year.
FINRA has published report on the implications of blockchain and claims mismanagement could have severe consequences.
FINRA looks to SEC for more authority to stop spoofing and layering quickly.