FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Wants Info on BDs' Digital Asset Activity
By Melanie WaddellIn a just-released Reg Notice, FINRA wants BDs to "promptly notify" the self-regulator.
June 29, 2018
FINRA Reveals Where Fine Money WentThe regulator outlines, for the first time, project work and other initiatives supported by sanctions.
June 29, 2018
Indie BD Exec Wins Seat on FINRA BoardSecurities America CEO Jim Nagengast, who had the support of the Financial Services Institute, received more votes than Shelley O'Connor, managing director and co-head of Morgan Stanley Wealth Management.
June 27, 2018
FINRA Revs Up CRD, BrokerCheck OverhaulThe BD regulator's heightened review of brokers' backgrounds kicks in this month.
June 22, 2018
FINRA Hits Betterment With $400K FineRegulators highlight a long list of ways the robo-advisor failed to meet its requirements during its startup period.
June 18, 2018
FINRA Hearing Panel Bars Rep, Firm for Violating SuspensionWhile on three-month suspension, Miami broker "never stopped his association" with the broker-dealer and with continued soliciting customers, FINRA hearing panel found.
June 14, 2018
FINRA Overhauls CRD, BrokerCheck Disclosure SystemFINRA's new WebCRD interface is designed "to give more immediate responses to firms about potential red flags in their submissions."
June 13, 2018
FSI Backs Securities America's Nagengast for Large Firm FINRA Board SeatCEO Nagengast and Shelley O'Connor, co-head of Morgan Stanley Wealth Management, are running to fill the large firm governor's seat.