FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Pushing Ahead on CAT, Rule Review: CEO Cook
By Melanie WaddellAt FINRA's annual conference, execs discussed which rules are being reviewed and gave an update on exam consolidation.
May 08, 2019
FINRA's Cook: SEC Reg BI Compliance to Be a Heavy LiftImplementing Reg BI and potential FINRA rulebook changes are top of mind; NASAA president weighs in on state fiduciary rules.
May 06, 2019
New FINRA CAT Subsidiary to Develop Consolidated Audit TrailThe new subsidiary, FINRA CAT, was created after the contractor working on the system was fired.
May 02, 2019
FINRA Plans Restrictions on BDs With History of Hiring Bad BrokersThe proposed rule, out for comment until July 1, includes requiring a BD to have a fund to cover unpaid arbitration awards.
April 29, 2019
2019 IA25 Independent Broker-Dealer WinnersHere are this year's top vote getters in the independent broker-dealer field.
April 26, 2019
SEC's Reg BI Doesn't 'Raise the Bar' Over FINRA's Suitability Rule: Consumer GroupsConsumer advocacy groups tell SEC's Jay Clayton what's lacking with the agency's rule.
April 25, 2019
Here's How FINRA Spent Its 2018 Fine MoneyThe BD self-regulator shares for the second year projects supported by sanctions.
April 24, 2019
FINRA Launches New Fintech OfficeFINRA's Cook said that innovation poses new challenges for their members, and "it is essential that we as regulators keep pace."