FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
Advisors Force Wells Fargo Into FINRA Arbitration Over Loss of Business
By Jane Wollman RusoffThey face steep odds against the wirehouse, but if they succeed, the floodgates could open.
October 22, 2018
FINRA's Amended CAB Rule to Be Implemented Nov. 19The rule change reflects FinCEN's adoption of a final rule on customer due diligence.
October 08, 2018
FINRA Board OKs Longer Arb Response TimeThe board also approved Regulatory Notices seeking comment on expanded trade reporting and margin requirements.
October 05, 2018
FINRA Plan Would Unleash 'Rogue Brokers,' Lawyers SayProposal to free BDs from liability for advisors' outside activities is one of FINRA's worst ever, lawyer Stoltmann says.
October 02, 2018
FINRA May Kill Suitability Rule if SEC's Reg BI Finalized: Cook"If Reg BI is adopted, then we need to look at our rule set to determine if any changes are appropriate," FINRA's CEO said.
October 01, 2018
FINRA Consolidates 3 BD Exam ProgramsFINRA's business conduct, financial and trading compliance exams will be consolidated "under a single framework."
September 27, 2018
FINRA's New Competency Exams Start MondayFINRA is also eliminating 7 of its 16 rep-level exams.
September 25, 2018
FINRA's Top 5 Fine Categories in First Half of 2018Restitution is down significantly from 2017, according to Eversheds Sutherland's midyear analysis of FINRA disciplinary actions.