FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Clarifies How BDs Should Handle Departing Rep Information
By Melanie WaddellBut the notice is vague on whether BDs must tell clients a rep was fired, a lawyers' group says.
March 22, 2019
Sen. Warren Presses FINRA on Broker Expungement Rule RevampStudies show broker expungements "are often associated with broker misconduct" and recidivism, Warren says.
March 21, 2019
FINRA's 2019 Budget Points to 'Day of Reckoning' Ahead: Ex-Enforcement ChiefFINRA says it could draw on its reserves to make up for a projected revenue shortfall.
March 20, 2019
New Law Firm 'Steeped' in SEC, FINRA Cases May Take on College Scam ClientsWhite-collar defense attorney Marc Mukasey announced the official launch of a boutique law firm, Mukasey Frenchman & Sklaroff LLP
March 19, 2019
FINRA Plans New Rules for Bad BrokersHow to deal with firms and brokers with a lot of black marks on their records has occupied a lot of FINRA board and policy discussions.
March 06, 2019
FINRA Releases FAQ on 529 Plan Share Class Initiative, Extends Compliance DeadlinesThe regulator wants to allow firms sufficient time to consider the new guidance on its self-reporting program.
March 05, 2019
FINRA Fines Cantor Fitzgerald $2M Over Reg SHO Violations"Firms' compliance with Regulation SHO is a continued focus for FINRA," said enforcement chief Susan Schroeder.
March 04, 2019
FINRA's Top Fine Categories in 2018It appears FINRA is "coming down harder" when it decides to bring a case, a lawyer says.