FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Slaps J.P. Morgan Securities for Lapse in Disclosing Reps' Misconduct
By Melanie WaddellJ.P. Morgan's failures prevented FINRA from pursuing enforcement actions.
September 08, 2019
Client, 1; Wells Fargo, 0: Wirehouse Loses in Nevada Fiduciary CaseAn investor cites the state's recent fiduciary rule in her complaint before FINRA — and the ruling goes her way.
September 06, 2019
FINRA Suitability Rule Likely a 'Non-Factor' Due to Reg BI: AttorneyFINRA can likely bring suitability cases under Reg BI instead, writes Bates Group's Hank Sanchez in a just-released paper.
August 27, 2019
Reg BI, Form CRS Status Check: Is Your Compliance Where It Should Be?Industry attorneys along with FINRA are weighing in with advice and steps on getting up to speed with the SEC advice-standards package.
August 19, 2019
ProEquities' Flint, M.E. Allison & Co.'s Murphy Elected to FINRA BoardFSI was "proud to endorse" Flint as large firm governor, said Dale Brown.
August 19, 2019
FINRA Reminds BDs of Municipal Client DutiesFINRA exams have found BDs engaged in investment-related activities with municipal clients without registering as muni advisors.
August 12, 2019
FINRA Seeks Feedback on Senior Protection RulesFINRA is seeking feedback on several matters, including the ability to place a hold on a client's account when exploitation is suspected.
August 08, 2019
RIA Wins $347K Arb Award From SchwabLaguna Financial Group and its owner argued that the custodial firm assisted a rival.