FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Industry Groups Push Indie Candidate for FINRA Board
By Janet LevauxFSI and the Bank Insurance & Securities Association are both supporting ProEquities President and CEO Chris Flint.
July 12, 2019
Cetera BD to Drop FINRA RegistrationSummit Brokerage, with about 450 advisors and $17.5 billion in assets, should soon become part of Cetera Advisor Networks.
July 11, 2019
FINRA Clarifies What 'Extraordinary Cooperation' Really MeansNew guidance tells firms how they can reduce penalties by going beyond the basic requirements when being investigated.
July 08, 2019
SEC, FINRA Clarify Broker-Dealer Custody of Digital AssetsFor one thing, BDs with custody of these assets must comply with the Customer Protection Rule.
July 02, 2019
FINRA Hits Summit With $880K Fine Over Excess TradingOne advisor placed close to 535 trades for a retired client, who paid more than $171,000 in commissions over three years.
June 28, 2019
Here's What 10 FINRA Execs Earned in 2018Top FINRA execs continue to earn $1 million or more.
June 28, 2019
FINRA Study Finds Widening Gaps in Financial CapabilityThe overall level of financial capability has plateaued after six years of increases, the report found.
June 28, 2019
FINRA Posts a Net Loss for the YearThe total amount of fines decreased by $3.9 million in 2018 to $61 million.