FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Ron Carson's Registration Drop Shows 'FINRA's Days Are Numbered'
By Janet Levaux"FINRA is still losing BDs," consultant Tim Welsh says. "No one is starting them. It's not happening."
December 03, 2018
FINRA Files to Allow BDs to Receive E-SignaturesBDs have said not being allowed to obtain e-signatures puts them at a "competitive disadvantage" to RIAs.
November 28, 2018
FINRA's Havlik Explains the Consolidated Exam ProgressChanges will unfold throughout 2019 and not come in "one Big Bang," according to the regulator.
November 27, 2018
LPL Hit With $2.75M FINRA Fine Over Cyber InfractionsFINRA found fault with LPL's AML program.
November 06, 2018
FINRA, Exchanges Prep for CAT Compliance DateCAT is "a complicated project that's a year behind schedule," FINRA CEO Robert Cook said.
November 06, 2018
FINRA Updates eFOCUS Report RequirementsThe updated electronic filing system incorporates new amendments for reported income issued by the SEC.
November 02, 2018
How to Avoid the Dreaded 8210 Letter From FINRABeing proactive, and using technology, can help you avoid a full-on FINRA investigation.
October 30, 2018
FINRA Fines LPL $2.75M Over Complaint Reporting, AML IssuesFINRA says the independent broker-dealer took too narrow an interpretation of which customer complaints needed to be reported.