FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA to Issue FAQ on 529 Share Class Initiative, May Extend Compliance Dates
By Melanie Waddell"People have had a lot of questions about how to engage in the initiative," said FINRA enforcement chief Schroeder.
February 14, 2019
FINRA Warns of BD Phishing ScamBDs reported receiving suspicious emails from a purported compliance officer working at what appears to be a legitimate credit union.
February 01, 2019
AI Will Transform Surveillance Programs – EventuallyFINRA is in the early stages of using these technologies for surveillance; most firms haven't started.
January 30, 2019
FINRA Offers New WebCRD FeatureNew functionality allows queries on reps' information to be viewed in a single-page format; more updates to come.
January 28, 2019
FINRA to Crack Down on 529 Plan Share Class RecommendationsTo be eligible for a new voluntary disclosure program, broker-dealers must self-report to FINRA Enforcement by noon on April 1.
January 23, 2019
FINRA Delivered 'Unprecedented' Processing Volume in 2018FINRA says its "pioneering" cloud strategy allowed the regulator to handle the volume while maintaining vigorous oversight.
January 22, 2019
FINRA Forum Shows Promises and Pitfalls of New TechnologiesHow experts from the securities industry and its regulators view AI, blockchain and other new technologies
January 22, 2019
FINRA Releases 2019 Exam PrioritiesThe annual letter highlights ongoing issues like cybersecurity along with some new areas of focus.