FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Expels Crowdfunding Portal DreamFunded, Bans CEO
By Melanie WaddellDreamFunded and its CEO "committed multiple violations" of SEC and FINRA crowdfunding rules, the regulator said.
May 17, 2019
Reg BI Is Epic Moment for Brokerage Industry: FINRA's Legal ChiefWith Reg BI, the SEC is "trying to save the broker-dealer business as we know it," said FINRA's chief legal officer.
May 16, 2019
FINRA Bad Broker Rule Would Hit Less Than 2% of FirmsThe new rule proposal identifies firms "that have a cluster of brokers with a high level of misconduct," FINRA's Cook said.
May 15, 2019
FINRA Pushing Ahead on CAT, Rule Review: CEO CookAt FINRA's annual conference, execs discussed which rules are being reviewed and gave an update on exam consolidation.
May 14, 2019
FINRA Aims to Simplify Its Digital Interactions With FirmsThe transformation is to be implemented in stages through 2022 and is focused on six areas.
May 09, 2019
FINRA Reminds BDs of Their Anti-Money Laundering DutiesIn Regulatory Notice 19-18, FINRA provides examples of money laundering red flags.
May 08, 2019
FINRA's Cook: SEC Reg BI Compliance to Be a Heavy LiftImplementing Reg BI and potential FINRA rulebook changes are top of mind; NASAA president weighs in on state fiduciary rules.
May 06, 2019
New FINRA CAT Subsidiary to Develop Consolidated Audit TrailThe new subsidiary, FINRA CAT, was created after the contractor working on the system was fired.