FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Reminds BDs of Business Continuity, Disaster Recovery Duties
By Melanie WaddellReg Notice 19-15 consolidates FINRA's designation criteria for BDs that must have such plans without change.
April 17, 2019
FINRA E-Signatures Rule Gets SEC NodFINRA will permit the use of electronic signatures for discretionary accounts, effective May 6.
April 15, 2019
FINRA Bond Sale Reporting Change Might Help Life InsurersInvestment mangers at Voya and Allianz' Pimco unit are some of the experts looking at the proposal.
April 15, 2019
FINRA Clarifies How BDs Should Handle Departing Rep InformationBut the notice is vague on whether BDs must tell clients a rep was fired, a lawyers' group says.
March 28, 2019
FINRA Files to Allow TRACE to Be Corporate Bond HubIf the SEC approves, TRACE will become a centralized source of comprehensive and timely information about new issues.
March 25, 2019
FINRA Developing 'Credit for Cooperation' Guidance; SEC Aims to 'Bring Cases Faster'At what point do broker-dealers who cooperate with FINRA deserve a reduced sanction? The regulator plans to clarify.
March 22, 2019
Sen. Warren Presses FINRA on Broker Expungement Rule RevampStudies show broker expungements "are often associated with broker misconduct" and recidivism, Warren says.
March 21, 2019
FINRA's 2019 Budget Points to 'Day of Reckoning' Ahead: Ex-Enforcement ChiefFINRA says it could draw on its reserves to make up for a projected revenue shortfall.