FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Sweeps BDs for Info on VIX-Linked Products
By Emily ZulzThe exam sweep covers member firms and advisors selling these products between October 2017 and February 2018.
March 30, 2018
Former Funding Portal DreamFunded Still in FINRA's CrosshairsThe ex-CEO's attorney said he was ill and couldn't produce documents, but his social media posts suggest otherwise.
March 29, 2018
Women Still Trail Men in Financial Knowledge: FINRAThe gap in financial literacy between boomer and Gen X men and women has not changed, but for millennials, that gap is narrowing.
March 27, 2018
FINRA, State Regulators Accused of Letting Sensitive Data Go PublicState regulators made Social Security numbers accessible for years, a whistle-blower says.
March 26, 2018
Advisor on Active Military Duty Fights Morgan Stanley Over Arb CaseLt. Cmdr. Harvey R. Klyce lost a false-inducement case against Morgan Stanley. The SEC is his last hope, he tells ThinkAdvisor.
March 23, 2018
Looking for Leniency From FINRA? Don't Count on MitigationFINRA sanctions are designed to take mitigating circumstances into account, but mitigation arguments often face long odds.
March 20, 2018
FINRA360 Progress Report, Exam Consolidation Decision Coming Soon: FINRA CEOFINRA will decide this year whether to consolidate its current three exam programs, said CEO Robert Cook.
March 09, 2018
FINRA Updates Business Continuity, Disaster Recovery GuidanceFirms reporting a "significant volume" of transactions in Treasury securities must now participate in FINRA's annual business continuity and disaster recovery test.