FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Enforcement Units, Unite!
By Melanie WaddellSusan Schroeder talked about the goals of merging FINRA's two enforcement divisions: namely, making enforcement actions more "foreseeable."
May 21, 2018
FINRA Would Monitor SEC Broker Conduct Rule Compliance: CookAt FINRA conference, CEO Cook discussed the SEC rule and future exam changes.
May 17, 2018
FINRA Floats Third-Party Insurance Coverage ProposalFINRA Board also filed with SEC proposed amendments to its TRACE rules to expand the definition of Agency Debt Security to address a new issuance structure by government-sponsored enterprises
May 10, 2018
Amended FINRA Customer Confirmations Rule Kicks In MondayAmended rule requires BDs to disclose more transaction-related information to retail customers for trades in fixed income securities; MSRB gets SEC OK to establish a new advertising rule
May 08, 2018
FINRA Sanctions Fifth Third Over Variable Annuity ExchangesThe broker-dealer failed to appropriately consider and accurately describe the costs and benefits of VA exchanges, FINRA says.
May 03, 2018
FINRA to Toughen Sanctions on Repeat ViolatorsThe revised Sanction Guidelines also tell adjudicators to consider arbitration actions filed by clients against a broker.
April 30, 2018
FINRA Issues Guidance, Seeks Comment on High-Risk BrokersThe regulator highlights instances when heightened supervision of brokers may be needed.
April 24, 2018
FINRA Releases FINRA360 Progress ReportFINRA CEO Robert Cook talks to ThinkAdvisor about how the sweeping regulatory initiative is coming along.