Finra typically issues a flurry of significant settlements with broker-dealers when the calendar turns from one year to the next; both the self-regulator and the brokerage firms Finra oversees want to ...

UBS Gr's UBS +3.55% + Free Alerts short percent of float has fallen 12.5% since its last report. The company recently ...

The Financial Industry Regulatory Authority issued fines against four large banks to end 2024, all for different alleged misconduct, but all related to the firms' failures to implement a supervisory ...

The core of the problem stemmed from UBS FSI's use of its Trade Allocation and Processing System (TAPS). The system handled both block orders and average price trades, but the trade confirmations ...

Billions of dollars of investment into artificial intelligence is set to propel tech stocks to yet another year of bumper ...

Founded in 1993 by brothers Tom and David Gardner, The Motley Fool helps millions of people attain financial freedom through ...

Those investing in AI stocks need to be 'more nimble' in 2025 amid rising regulations, potential product transitions and ...