FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Files to Update CAB Rule
By Melanie WaddellThis is the second rule amendment FINRA has issued to conform with FinCEN's customer due diligence requirements.
September 12, 2018
FINRA Releases FAQ on New Competency ExamThe exam changes take effect on Oct. 1.
September 11, 2018
FINRA Issues Its First Cryptocurrency Disciplinary ActionTimothy Tilton Ayre and HempCoin are in regulator sights for alleged securities fraud and unlawful distribution of a cryptocurrency.
September 10, 2018
4 Regtech Challenges for BDs to Watch For: FINRAA new buzzword — suptech, or supervisory technology — is also coming into play.
September 04, 2018
Finra Proposes Higher Position Limits for ETF Options ContractsNine ETF index options contracts have been selected for a doubling of position limits if SEC approves FINRA's proposal.
August 31, 2018
FINRA Rule 2010: A Short Rule With a Long ReachThe rule requiring financial pros to conduct themselves with "commercial honor" is intentionally vague.
August 28, 2018
FINRA Elects Three Governors to its BoardFSI is "pleased to see [Kovack will] spend another three years supporting the interests of our industry" and investors, said Dale Brown.
August 24, 2018
FINRA Bars Broker for Paying His Mortgage With Elderly Client's Money: EnforcementAlso, the SEC charged real estate investment companies with operating a $135 million fraud scheme.