FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
BD Hit With $5.5M Fine Over Short Sales
By Janet LevauxFINRA says Interactive Brokers "internally identified the problems, yet did not revise its supervisory systems for more than three years."
August 06, 2018
Select Military Spouses to Receive Designation to Conduct Financial Counseling: FINRAThe FINRA Foundation Military Spouse Fellowship program participants will undergo rigorous training and gain hands-on experience — at no cost.
August 01, 2018
FSI Backs Kovack Securities Co-Founder for FINRA Board SeatIf elected, Brian Kovack would be serving a second term as midsize firm governor.
July 30, 2018
FINRA Seeks BD Feedback on How Regs Affect FintechFINRA wants to know how its rules could be modified to support innovation.
July 26, 2018
FINRA Completes Enforcement Unit RevampThe reorganization is intended to "ensure a more consistent and foreseeable enforcement program."
July 25, 2018
FINRA Board OKs E-Signature, Custodian ProposalsThe e-signature approval "reflects just how behind the times FINRA is" on technology, recruiter Jon Henschen says.
July 16, 2018
Ami Forte, Ex-Morgan Stanley Star, Portrayed Falsely by Former Boss, Lawyer SaysForte's former branch manager was "bought off" by Morgan, her lawyer tells ThinkAdvisor.
July 13, 2018
Cloud Storage Helps FINRA Process 'Unprecedented' Amount of Market Activity"Our staff has access to petabytes of data in seconds or minutes," FINRA's tech chief says.