FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Reg BI, Form CRS Status Check: Is Your Compliance Where It Should Be?
By Melanie WaddellIndustry attorneys along with FINRA are weighing in with advice and steps on getting up to speed with the SEC advice-standards package.
August 12, 2019
FINRA Seeks Feedback on Senior Protection RulesFINRA is seeking feedback on several matters, including the ability to place a hold on a client's account when exploitation is suspected.
August 08, 2019
RIA Wins $347K Arb Award From SchwabLaguna Financial Group and its owner argued that the custodial firm assisted a rival.
August 08, 2019
FINRA Launches Reg BI Webpage, Plans WorkshopsThe BD regulator is also urging broker-dealers to submit questions to the SEC about Reg BI and Form CRS.
August 01, 2019
Ohio National Fighting to Avoid FINRA ArbitrationThe insurer faces a new lawsuit filed by Kestra Financial's parent firm over its decision to stop paying advisors certain annuity commissions.
July 30, 2019
CFP Board Announces Big Enforcement ChangesThe Board will no longer solely rely on self-disclosure by CFP professionals.
July 29, 2019
CFP Board Website Omits Complaints, Reg and Criminal History: ReportReacting to the Wall Street Journal's analysis, the organization says it is "addressing issues" raised in the report but disputes some conclusions.
July 29, 2019
FINRA Fines Citigroup for Inadequate Background ChecksThe firm failed to conduct proper checks on 10,400 non-registered persons and failed to fingerprint 520 of them, FINRA says.