Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
FINRA: Fraud Continues to Be Major Challenge During Pandemic
By Jeff BermanThe "biggest potential problem" is phishing, risk oversight officer Bill Wollman says.
May 11, 2020
FINRA Announces Delay in Online Test-Taking RegistrationThe broker-dealer regulator said late Sunday that it needs more time to pilot the online test-taking program.
May 08, 2020
FINRA Sees Operating Revenue Flat in 2020FINRA is again projecting that its expenses will exceed operating revenue for the year.
May 08, 2020
FINRA Suspends Ex-LPL Rep Over Risky REIT InvestmentsThe former broker inflated his elderly customers' net worth in REIT applications, the regulator says.
May 08, 2020
FINRA Seeks to Pay All Disciplinary Hearing Panel MembersCurrently, the chief hearing officer has discretion to compensate those who serve on extended hearing panels only.
May 08, 2020
Registration Starts May 11 for FINRA, NASAA Online Test TakingFINRA has also filed a proposed rule with the SEC to allow for certain documents to be delivered via email.
May 07, 2020
SEC Fines Bloomberg Tradebook $5MThe broker misrepresented its order routing practices, the SEC said.
May 07, 2020
Wunderlich Challenges FINRA Arb Award After Zoom HearingArbitrators were "inattentive" during the March 12 virtual hearing, the firm said in a petition to vacate the $11 million award.