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 ...

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

The core of the problem stemmed from UBS FSI's use of its Trade Allocation and Processing System (TAPS). The system handled ...

After Apple Inc's market share fell in China in the Q3, UBS has now forecast dampening sales in the month of December.

The year 2024 witnessed a surge in the valuation of Artificial Intelligence (AI) stocks, fueled by a confluence of factors.

UBS FSI has agreed to pay the Financial Industry Regulatory Authority (Finra) $1.1 million to settle charges that for more than 10 years and despite multiple regulatory warnings, the Weehawken, ...

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