FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Plans Restrictions on BDs With History of Hiring Bad Brokers
By Melanie WaddellThe proposed rule, out for comment until July 1, includes requiring a BD to have a fund to cover unpaid arbitration awards.
April 25, 2019
Here's How FINRA Spent Its 2018 Fine MoneyThe BD self-regulator shares for the second year projects supported by sanctions.
April 24, 2019
FINRA Launches New Fintech OfficeFINRA's Cook said that innovation poses new challenges for their members, and "it is essential that we as regulators keep pace."
April 22, 2019
FINRA Reminds BDs of Business Continuity, Disaster Recovery DutiesReg Notice 19-15 consolidates FINRA's designation criteria for BDs that must have such plans without change.
April 19, 2019
FINRA Bars Broker Who Lost Customers $3M Through Churning: EnforcementFINRA also fined Kestra for share class violations.
April 17, 2019
SEC, FINRA Plan Compliance Outreach Seminar for BDsThe program is to be held June 27 in Chicago and will focus on protecting retail investors, digital assets, cybersecurity and anti-money laundering.
April 17, 2019
FINRA E-Signatures Rule Gets SEC NodFINRA will permit the use of electronic signatures for discretionary accounts, effective May 6.
April 15, 2019
FINRA Bond Sale Reporting Change Might Help Life InsurersInvestment mangers at Voya and Allianz' Pimco unit are some of the experts looking at the proposal.